FINRA Proposal to Allow Broker-Dealers to Distribute Predictive Illustrations

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Amendment to FINRA Communications Rule would put member firms on a more equal footing with investment advisers.

In February 2017, the Financial Industry Regulatory Authority, Inc. (FINRA) announced a proposed amendment (Proposed Amendment) to FINRA Rule 2210 (Communications with the Public), which would allow member firms to provide customized predictive performance illustrations to current and prospective customers under limited circumstances.

Please see full publication below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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