Regulatory Notice 17-06

FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public

Comment Period Expires: March 27, 2017

Executive Summary

As part of FINRA’s retrospective review of its rules governing communications with the public, FINRA is soliciting comment on proposed amendments to FINRA Rule 2210 (Communications with the Public). The proposed amendments would create an exception to the rule’s prohibition on projecting performance to permit a firm to distribute a customized hypothetical investment planning illustration that includes the projected performance of an asset allocation or other investment strategy, but not an individual security, subject to specified conditions.

The proposed rule text is attached as Attachment A.

Questions concerning this Notice should be directed to:

  • Joseph E. Price, Senior Vice President, Corporate Financing/Advertising Regulation, at (240) 386-4623;
  • Thomas A. Pappas, Vice President, Advertising Regulation, at (240) 386-4553; or
  • Joseph P. Savage, Vice President and Counsel, Regulatory Policy, at (240) 386-4534.
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments: 
DateCommenterFormat - Size
3/7/2017Equity Dealers of AmericaPDF - 215.54 KB
3/9/2017NPB Financial Group LLCPDF - 52.13 KB
3/23/2017M Holdings Securities, Inc.PDF - 97.27 KB
3/24/2017NASAAPDF - 205.85 KB
3/27/2017SIFMAPDF - 610.02 KB
3/27/2017Financial Services InstitutePDF - 138.37 KB
3/27/2017IPAPDF - 274.31 KB
3/27/2017Wells Fargo AdvisorsPDF - 73.11 KB
3/27/20173PMPDF - 224.13 KB
3/27/2017Investment Company InstitutePDF - 103.18 KB
3/27/2017WealthForge Securities LLCPDF - 229.83 KB
3/27/2017Georgia State University College of LawPDF - 213.05 KB
3/27/2017Money Management InstitutePDF - 781.28 KB
3/27/2017Wellington Management Advisers, Inc.PDF - 124.57 KB
3/27/2017PIABAPDF - 195.4 KB
3/27/2017Eversheds Sutherland (US) LLPPDF - 1.03 MB
3/27/2017IRIPDF - 326.39 KB
3/27/2017ACA Compliance GroupPDF - 1.22 MB
3/27/2017Credit SuissePDF - 456.02 KB
3/27/2017Fidelity InvestmentPDF - 78.44 KB
3/30/2017NYSBA Securities Regulation Committee (Goodwin Procter LLP)PDF - 225.82 KB
4/26/2017Odeon Capital Group LLCPDF - 93.5 KB
5/17/2017Monument GroupPDF - 594.08 KB