Regulatory Notice 13-03

FINRA Provides Guidance on New Rules Governing Communications With the Public

Published Date:

Communications With the Public

Regulatory Notice
Notice Type

Consolidated Rulebook
Guidance		 Suggested Routing

Advertising
Compliance
Investment Companies
Legal
Registered Representatives
Research
Senior Management
Key Topics

Advertising
Communications With the Public
Referenced Rules & Notices
FINRA Rule 2200 Series
Regulatory Notice 12-29		  

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.