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On June 20, the Financial Industry Regulatory Authority (FINRA) filed with the Securities and Exchange Commission proposed amendments to FINRA Rule 2210 (Communications with the Public) and FINRA Rule 2241 (Research Analysts and Research Reports) required by the Fair Access to Investment Research Act of 2017.
The proposed amendments would eliminate the “quiet period” for restrictions for publishing a research report or making a public appearance concerning a covered investment fund under Rule 2241. The amendments would also create a filing exclusion for covered investment fund research reports under Rule 2210.
A copy of the proposed amendments is available here.
