SR-FINRA-2026-004
Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 2210 (Communications with the Public). The proposed rule change would allow a member to project the performance or provide a targeted return with respect to a security, a securities portfolio, or an asset allocation or other investment strategy in its communications, subject to specified conditions to ensure these projections are carefully derived from a sound basis.
| Title | Format - Size | Status |
|---|---|---|
| Text of the Proposed Rule Change | PDF - 415.16 KB | |
| Federal Register Notice | PDF - 253.94 KB | |
| Extension No. 1 | PDF - 1.74 MB | |
| Response to Comments No. 1 | PDF - 163.17 KB | |
| Order Instituting Proceedings To Determine Whether To Approve Or Disapprove | PDF - 210.59 KB | |
| Response to Comments No. 2 | PDF - 315.63 KB | |
| Amendment No.1 to the Proposed Rule Change | PDF - 1.8 MB | |
| Notice of Filing of Amendment No. 1 | PDF - 220.59 KB | |
| Extension No. 2 | PDF - 1.74 MB | |
| Response to Comments No. 3 | PDF - 286.63 KB | |
| Approval Order | PDF - 305.88 KB | New |