FINRA issued a Regulatory Notice providing guidance in the form of questions and answers on compliance with its new communication rules, which will become effective on February 4, 2013 (the “Effective Date”). The new rules, which were approved by the SEC on March 29, 2012, were discussed in the April 24, 2012 Financial Services Alert, and the announcement of the effective date for the new rules and other guidance provided by FINRA was described in the July 17, 2012 Financial Services Alert.
Among the topics covered in the guidance are the following:
Transitional Filing Issues
Changes to Filing Requirements for New Member Firms
The guidance confirms that FINRA Rule 2210 revises the filing requirements for new member firms in the following respects:
For more information about the contents of this alert, please contact:
Elizabeth Shea Fries
Consumer Financial Services
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