SEC Approves Amendments to Communication with the Public Rule (FINRA Reg. Notice 14-30)

FINRA issued a regulatory notice regarding the SEC's approval of amendments to FINRA Rule 2210 ("Communications with the Public"). The immediately effective amendments exclude from filing requirements research reports on exchange-listed securities, other than research reports that must be filed pursuant to Investment Company Act Section 24(b) ("Registration of securities under Securities Act of 1933"). The rule amendments also clarify that fee writing prospectuses that are exempt from filing with the SEC are not subject to FINRA Rule 2210's filing or content standards.

The amendments are immediately effective.

See: FINRA Reg. Notice 14-30.Related news: SEC Approves FINRA-Proposed Amendments to Rules 2210 and 2214 (Fed. Reg.) (July 2, 2014); FINRA-Proposed Rule Change to Amend FINRA Rules 2210 and 2214 (Fed. Reg.) (March 31, 2014).