The Financial Industry Regulatory Authority, Inc. (“FINRA”) has proposed changes to FINRA Rule 2210 (Communications with the Public) that would permit FINRA member broker-dealers to include performance projections and...more
2/18/2026
/ Broker-Dealer ,
Compliance Monitoring ,
Disclosure Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Funds ,
Marketing ,
Private Funds ,
Proposed Rules ,
Registered Investment Advisors ,
Regulatory Oversight ,
Regulatory Reform ,
Regulatory Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The Financial Industry Regulatory Authority, Inc. (“FINRA”) has proposed a new rule (the “Proposal”) that would consolidate and modernize its rules governing outside business activities and private securities transactions by...more
1/21/2026
/ Broker-Dealer ,
Capital Markets ,
Compliance Monitoring ,
Financial Industry Regulatory Authority (FINRA) ,
Proposed Rules ,
Regulatory Reform ,
Regulatory Requirements ,
Reporting Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation