Regulatory Notice 09-55

FINRA Requests Comments on Proposed New Rules Governing Communications with the Public

Comment Period Expired: November 20, 2009

FINRA requests comments on proposed new FINRA rules governing communications with the public. These new rules would replace current NASD Rules 2210 and 2211, the Interpretive Materials that follow NASD Rule 2210, and portions of Incorporated NYSE Rule 472.While the proposed rules are based upon these rules' current provisions, the new FINRA rules would employ new communications categories and require the filing of certain types of communications that currently are not required to be filed. The proposal also would make a number of other changes to the communications rules.

The text of the proposed rules is available on our Web site at

Questions concerning this Notice should be directed to:

  • Joseph P. Savage, Vice President and Counsel, Investment Companies Regulation, at (240) 386-4534; or
  • Thomas A. Pappas, Vice President and Director, Advertising Regulation, at (240) 386-4553.

Related Documents: 

DateTitleFormat - Size
Regulatory Notice 09-55 - Attachment APDF - 140.44 KB
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments: 
DateCommenterFormat - Size
11/16/2009Public Investors Arbitration Bar AssociationPDF - 682.85 KB
11/19/2009TD AmeritradePDF - 308.27 KB
11/19/2009Investment Company InstitutePDF - 117.75 KB
11/19/2009The Leaders Group Inc./TLG Advisors, Inc.PDF - 38.35 KB
11/18/2009National Planning Holding, Inc.PDF - 50.86 KB
11/18/2009Cornell Law SchoolPDF - 2.02 MB
11/20/2009Morgan Stanley Smith BarneyPDF - 218.59 KB
11/20/2009Sutherland Asbill & Brennan LLPPDF - 84.26 KB
11/20/2009World Group Securities, Inc.PDF - 109.43 KB
11/20/2009T. Rowe Price Investment Services, Inc.PDF - 2.8 MB
11/20/2009Wells Fargo AdvisorsPDF - 124.83 KB
11/20/2009Fidelity InvestmentsPDF - 128.76 KB
11/23/2009WilmerHalePDF - 943.3 KB
11/20/2009Pacific Select DistributorsPDF - 89.73 KB
11/20/2009MBSC Securities CorporationPDF - 101.31 KB
11/20/2009StockCross Financial ServicesPDF - 446.25 KB
11/20/2009Financial Services InstitutePDF - 111.79 KB
11/20/2009American FundsPDF - 101.59 KB
11/23/2009The Vanguard Group, Inc.PDF - 227.31 KB
11/23/2009Forefield, Inc.PDF - 192.19 KB
11/23/2009Invesco Aim Distributors, Inc.PDF - 127.01 KB
11/20/2009Cutter & Company, Inc.PDF - 42.24 KB
12/1/2009SIFMAPDF - 77.66 KB