Amendments to FINRA Rule 2210 Permit Use of Projected Performance and Targeted Returns in Broker-Dealer Communications Subject to Specified Conditions
Monday, October 26, 2026 · first reported by Mayer Brown via JD Supra
FINRA member firms can now put projected performance or a targeted return into communications with the public, after the SEC approved amendments to FINRA Rule 2210 on October 15, 2026. The change applies to communications about an individual security, a portfolio of securities, or an investment strategy such as an asset allocation. Firms must satisfy specified conditions when they do so.
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