Regulatory Update: FINRAs New Communications Rules
October 17, 2012
FINRA is changing the rules when it comes to communicating with retail investors-everything from advertisements to sales literature and other correspondence-and firms are expected to be compliant by February 2013.
Learn what's new under Rules 2210, and 2212-2216, and how to adapt your existing communication strategies to stay compliant in the new era.
This workshop-format web seminar will cover new requirements for filing relating to tax consideration; recommendations; disclosure of members' names; principal pre-approval and filings 10 days prior to first use; and what is expected of you in order to stay compliant with FINRA Rule 2210.
Linda Lerner is participating.
Crowell & Moring Participant(s):