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SEC approves FINRA’s proposed rule change about comms with the public

Image of investment trading performance data on computer screens.
Photo: Michael M. Santiago/Getty Images

SEC approved rule amendment allowing broker-dealers to include performance projections and targeted returns in marketing materials for eligible clients.

The SEC has approved amendments to FINRA Rule 2210 (Communications with the Public), creating a conditional exception to the long-standing prohibition against performance predictions and projections.

FINRA Rule 2210 generally prohibits communications with the public that predict or project performance. As discussed below, there are three exceptions to this general

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