Communications with the Public
Published on:
December 1, 2009
SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on FINRA’s proposal to consolidate and recognize current NASD and NYSE rules governing communications with the public by FINRA members, FINRA Regulatory Notice 09-55. SIFMA applauds FINRA’s efforts to streamline current communication rules, however, it is believed that additional modifications to proposed FINRA Rule 2210 are necessary to avoid certain unintended consequences. Included with the letter are SIFMA’s comments and recommended modifications.