United States: FINRA Proposes To Add 'Knowledgeable Employees' To Category Of Persons Who May Receive Projections And Targeted Returns Under Rule 2210 - Goodwin Procter LLP

Credit: Mondaq- Published on March 8, 2024

This amendment builds on FINRA's recent willingness to relax the prohibition on the use of projections and targeted returns in the marketing materials broker-dealers deliver to institutional...