The Financial Industry Regulatory Authority (FINRA) is seeking comment with respect to proposed amendments (the “Proposed Amendments”) to FINRA Rule 2210 (Communications with the Public). The Proposed Amendments would create an exception to FINRA’s general prohibition on projected performance and would be applicable to all FINRA-member firms. The Proposed Amendments would allow firms to present to prospective and current customers illustrations that show the projected performance of an asset allocation or investment strategy (although it remains impermissible to present the projected performance of individual securities).
Latest Post
More Posts
SEC Approves Pricing Disclosures for Fixed Income Securities
FINRA Files Proposed Rules With The SEC To Implement Consolidated Audit Trail Plan
MSRB Revises Customer Complaint and Related Recordkeeping Rules
FINRA Issues Report on Implications of Blockchain
2017 Examination Priorities Announced by the SEC
FINRA Publishes 2017 Regulatory and Examination Priorities Letter
FINRA Interprets “As Soon As Practicable” Requirement Under Trade Reporting Rules
CBOE Files Proposal To Amend Priority Rules
SEC Approves Plan To Create Consolidated Audit Trail
Subscribe: Subscribe via RSS
Firm/Org