SR-FINRA-2016-018

Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments that would revise the filing requirements in FINRA Rule 2210 (Communications with the Public) and FINRA Rule 2214 (Requirements for the Use of Investment Analysis Tools) and the content and disclosure requirements in FINRA Rule 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings).

TitleFormat - SizeStatus
Text of the Proposed Rule ChangePDF - 3.33 MB
Federal Register NoticePDF - 222.95 KB
Extension No. 1PDF - 74.96 KB
Response to Comments PDF - 88.35 KB
Amendment No. 1 to Proposed Rule ChangePDF - 75.35 KB
Approval OrderPDF - 226.17 KB