BROKER-DEALER -
FINRA Proposes Amendments to Rule Pertaining to Communications with the Public -
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...
Please see full publication below for more information.