Regulatory Notice 13-03

FINRA Provides Guidance on New Rules Governing Communications With the Public

FINRA staff has received a number of questions since it published Regulatory Notice 12-29, which announced SEC approval of FINRA’s new rule on communications with the public. The new communications rules become effective February 4, 2013. To provide additional guidance on compliance  with the new rules, FINRA has published a set of questions and answers on the Advertising Regulation page on the FINRA website.

Questions concerning this Notice should be directed to:

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