FINRA Proposes Amendments to Communications Rules, Including New Pre-Filing Requirements for Structured Products Communications
Client Memorandum

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On September 21, 2009, the Financial Industry Regulatory Authority (“FINRA”) proposed for public comment new rules governing member firms’ communications with customers and the public (the “Proposed Rules”). The Proposed Rules would generally continue the substance of the current scheme, but would reorganize how various types of communications are classified. Of particular significance, the Proposed Rules would require retail communications regarding structured products to be filed with and reviewed by FINRA before they are used.