King & SpaldingยทSECURITIES / CAPITAL MARKETS

SEC Approves FINRA Rule 2210 Amendments on Projected Performance

SEC approved amendments creating a new exception to FINRA's communications rule, letting FINRA members use projected performance and targeted returns subject to conditions.

finra-rule-2210sec-rule-changebroker-dealer-communicationsprojected-performanceprivate-placements

Stay ahead

Join the digest.

Each weekday's issue by email, through Substack. Or follow the RSS feed.