In commenting on FINRA’s filing a proposed rule change with the US Securities and Exchange Commission (SEC) to allow brokers to use performance projections in their advertising, partner Steven Stone told InvestmentNews that “this is a welcome change to the [FINRA] rule and a sensible one given the changes in the SEC’s marketing rule.”
Steve added, “We’re assuming this reflects a fair amount of dialogue with SEC staff. The overall purpose is to harmonize the [marketing regulation] approach where possible.”
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