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SR-FINRA-2023-016

Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Permit Projections of Performance in Institutional Communications and Specified Communications to Qualified Purchasers

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to permit projections of performance in institutional communications and specified communications to qualified purchasers.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 10.6 MB
Federal Register Notice PDF - 320.26 KB
Extension No. 1 PDF - 1.79 MB
Partial Amendment No. 1 PDF - 1.77 MB
Response to Comments PDF - 278.67 KB
Order Instituting Proceedings To Determine Whether To Approve or Disapprove PDF - 162.63 KB
Extension No. 2 PDF - 1.74 MB
Rebuttal Comment Letter PDF - 233.4 KB New