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The SRO is proposing key changes to its “Communications with the Public” rule.
FINRA is proposing a change to its “Communications with the Public” rule that could let its broker-dealer members send out performance projections or targets about private securities, asset allocations, and other investment strategies. While the move represents an easing of past prohibitions, firms will still be subject to the “stringent conditions” of the self-regulatory organization...
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