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FINRA moves to harmonize rules for investment performance data

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Thomas Hyrkiel, Julie DiMauro

3 min read
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A targeted exception attempts to improve clarity and reduce regulatory friction and confusion without diluting investor protection.

FINRA is seeking approval from the SEC for a narrow scope amendment to FINRA Rule 2210.

To help protect investors, especially less experienced retail investors, Rule 2210 currently includes a general prohibition against the communication of performance projections.

FINRA has received industry feedback indicating that some investors, particularly institutional investors, (such as

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