Regulatory Notice 15-16

FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public

Comment Period Expires: July 2, 2015

Executive Summary

FINRA is soliciting comment on proposed amendments to the FINRA rules governing communications with the public. The proposed amendments 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).

The proposed rule text is attached as Attachment A.

Questions concerning this Notice should be directed to:

  • Joseph E. Price, Senior Vice President, Corporate Financing/Advertising Regulation, at (240) 386-4623;
  • Thomas A. Pappas, Vice President, Advertising Regulation, at (240) 386-4553; or
  • Joseph P. Savage, Vice President and Counsel, Regulatory Policy, at (240) 386-4534.
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
6/29/2015The Vanguard Group, Inc.PDF - 176.18 KB
6/30/2015T. Rowe Price Investment Services, Inc.PDF - 487.73 KB
7/1/2015IPAPDF - 951.9 KB
7/1/2015Wells Fargo Advisors, LLCPDF - 72.43 KB
7/1/2015TD Ameritrade, Inc.PDF - 111.91 KB
7/1/2015Fidelity InvestmentsPDF - 348.19 KB
7/2/2015SIFMAPDF - 285.89 KB
7/2/2015PIABAPDF - 295.75 KB
7/2/2015Financial Services InstitutePDF - 146.58 KB
7/2/2015Investment Company InstitutePDF - 137.2 KB
7/2/2015Sutherland Asbill & Brennan LLPPDF - 86.56 KB