FINRA Issues Regulatory Notice on NASD Rule 2711 Amendments | Practical Law

FINRA Issues Regulatory Notice on NASD Rule 2711 Amendments | Practical Law

FINRA issued a regulatory notice on the recently approved amendments to NASD Rule 2711 (Research Analysts and Research Reports) conforming the rule with the JOBS Act and making related changes.

FINRA Issues Regulatory Notice on NASD Rule 2711 Amendments

Practical Law Legal Update 7-522-2417 (Approx. 3 pages)

FINRA Issues Regulatory Notice on NASD Rule 2711 Amendments

by PLC Corporate & Securities
Published on 06 Nov 2012 • USA (National/Federal)
FINRA issued a regulatory notice on the recently approved amendments to NASD Rule 2711 (Research Analysts and Research Reports) conforming the rule with the JOBS Act and making related changes.
On November 2, 2012, FINRA released a regulatory notice on the recently approved amendments to NASD Rule 2711 (Research Analysts and Research Reports) and Incorporated NYSE Rule 472 (Communications with the Public). The notice offers commentary on the amendments.
For more information on the amendments, see Legal Updates, FINRA Proposes Rule Changes Amending NASD Rule 2711 to Conform with JOBS Act and SEC Approves NASD Rule 2711 Amendments Conforming Rule with JOBS Act.
For more information on the rules governing research analysts and research reports, see Practice Note, Research Analysts and Research Reports.