Rule 472. Communications With The Public
This rule is no longer applicable. Incorporated NYSE Rule 472 has been superseded by FINRA Rule 1200 Series. Please consult the appropriate FINRA Rule.
(a) Approval of Communications and Research Reports
(1) Reserved.
(2) Research reports must be approved, in advance, by a supervisory analyst acceptable to the Exchange under the provisions of Rule 344. Where a supervisory analyst does not have technical expertise in a particular product area, the basic analysis contained in such report may be co-approved by a product specialist designated by the organization. In the event that the member organization has no principal or employee qualified with the Exchange to approve such material, it must be approved by a qualified supervisory analyst in another member organization by arrangement between the two member organizations.
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Amended: October 20, 1955, effective November 1, 1955; September 19, 1963, effective October 15, 1963; June 18, 1964; March 26, 1970; February 2, 1977; December 14, 1983; December 31, 1997; March 19, 1990; May 10, 2002 effective July 9, 2002 (NYSE-2002-09 ); July 29, 2003 (NYSE-2002-49); April 14, 2005 (NYSE-2005-24); April 21, 2005 (NYSE-2004-24); October 17, 2006 (NYSE-2006-77); April 7, 2008 (SR-FINRA-2007-011); Amended by SR-FINRA-2008-044, effective February 5, 2009. Amended by SR-FINRA-2012-045 eff. April 5, 2012 and Oct. 11, 2012. Amended by SR-FINRA-2011-035, eff. Feb. 4, 2013. Amended by SR-FINRA-2015-047 eff. Sept. 25, 2015 and Dec. 24, 2015. Selected Notices: 09-10, 12-29, 12-49, 15-30. |