FINRA-Proposed Rule Change to Amend FINRA Rules 2210 and 2214 (Fed. Reg.)

FINRA published a proposed rule change to amend FINRA Rules 2210 ("Communications with the Public") and 2214 ("Requirements for the Use of Investment Analysis Tools") in the Federal Register.

The rule change would amend Rule 2210 to exclude from the filing requirements any research reports concerning only securities listed on a national securities exchange, other than those which must be filed pursuant to Investment Company Act Section 24(b) ("Registration of Securities under Securities Act of 1933"). The proposed rule would also clarify that free writing prospectuses that are exempt from filing with the SEC are not subject to the rule's filing or content standards in Rule 2210.

Comments must be submitted by April 21, 2014.

See: 79 FR 18094.Related news: FINRA-Proposed Rule to Amend FINRA Rules 2210 and 2214 (March 11, 2014).To stay up to date with FINRA and other SRO rule changes, please see the Cabinet's Rule Calendars (accessible to Cabinet subscribers only).