FINRA Files Amended Communications Rules – Impact on Structured Products
On July 14, 2011, the Financial Industry Regulatory Authority, Inc. filed with the Securities and Exchange Commission a proposal to adopt various rules in the Consolidated FINRA Rulebook affecting members’ communications with retail and institutional investors, as well as with internal sales forces, and these amendments will likely affect the offer and sale of structured products in several important ways.
This communication, which we believe may be of interest to our clients and friends of the firm, is for general information only. It is not a full analysis of the matters presented and should not be relied upon as legal advice. This may be considered attorney advertising in some jurisdictions. Please refer to the firm's privacy notice for further details.
Copy link to share post