Mayer BrownยทSECURITIES / CAPITAL MARKETS

FINRA Rule 2210 Amendments Ease Limits on Projected Performance, Targeted Returns

Per a Mayer Brown alert, amended FINRA Rule 2210 lets broker-dealer communications use projected performance and targeted returns, subject to specified conditions compliance teams must map to firm procedures.

finrarule-2210broker-dealer-communicationsprojected-performancetargeted-returnssecurities-compliance

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