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FINRA Proposal Would Allow Performance Projections & Targets

December 5, 2023 by Eugene Grygo

FINRA Proposal Would Allow Performance Projections & Targets

FINRA is proposing a change to its “Communications with the Public” rule that could let its broker-dealer members send out performance projections or targets about private securities, asset allocations, and other investment strategies. While the move represents an easing of past prohibitions, firms will still be subject to the “stringent conditions” of the self-regulatory organization… Read More >>

Filed Under: Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Buy-Side, GIPS News, Performance Analytics, Performance Attribution, Performance Measurement, Regulation & Compliance, Regulatory Enforcement, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: 2210, Advertising, data management, FINRA, GIPS, GIPS compliance, performance, performance measurement, projection, Securities Operations

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