Lindsay Grossman

Lindsay Grossman

Dechert LLP

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Just Off-Target: FINRA Proposal on Projections and Targeted Returns

The Proposed Amendments would permit FINRA members to include targeted returns or projected performance solely if the communication is either: (i) an “institutional communication” as defined in FINRA Rule 22102.; or (ii)...more

12/8/2023  /  Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Investment Advisers Act of 1940 , Marketing , Proposed Amendments , Regulatory Agenda , Regulatory Reform , Regulatory Requirements , Rule 2210 , Securities Regulation
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