Rulemaking Items for Discussion at the September 2016 Meeting

The FINRA Board of Governors will consider the following rulemaking items at its September 2016 meeting. After the meeting, FINRA will notify firms via email about the Board’s action and anticipated next steps, if any.

Advertising Regulation

The Board will consider proposed amendments to Rule 2210 (Communications with the Public) to permit the use of projections of the performance of asset allocation or other investment strategies in investment planning contexts.

Non-public Arbitrator Definition

The Board will consider proposed amendments to Rules 12100 and 13100 (Definitions) to revise exclusions in the non-public arbitrator definition.

Sending Arbitrator Selection Lists to Parties

The Board will consider proposed amendments to Rules 12402, 12403 and 13403 (Sending Lists to Parties) to expedite sending arbitrator selection lists to parties.