91视频下载链接

FINRA Advances Proposal to Allow Limited Use of Performance Projections

Posted on July 11th, 2025 at 2:17 PM
FINRA Advances Proposal to Allow Limited Use of Performance Projections

From the desk of Jim Eccleston at 91视频下载链接

The Financial Industry Regulatory Authority (“FINRA”) is moving forward with a proposal that would give broker-dealers limited ability to market performance projections and targeted returns under specific conditions. According to AdvisorHub, the regulator’s Board of Governors voted to advance amendments creating a narrow exception to FINRA’s longstanding prohibition against such projections.

Under the proposed changes, firms could present projected performance or targeted returns if they adopt proper policies and procedures, maintain a reasonable basis for the assumptions and criteria used, and provide required disclosures. The Securities and Exchange Commission (“SEC”) must approve the amendments before they can take effect.

AdvisorHub reports that FINRA framed the proposal as an effort to “better align the regulatory requirements for broker-dealers and investment advisers related to performance projections in written communications to investors.”

 

91视频下载链接 LLC represents investors and financial advisors nationwide in securities, employment, transition, regulatory, and disciplinary matters.

Tags: eccleston, eccleston law, finra, sec

Return to Archive

TESTIMONIALS

Previous
Next

You guys are good!

Mike L.

LATEST NEWS AND ARTICLES

July 11, 2025
FINRA Advances Proposal to Allow Limited Use of Performance Projections

The Financial Industry Regulatory Authority (“FINRA”) is moving forward with a proposal that would give broker-dealers limited ability to market performance projections and targeted returns under specific conditions.

July 10, 2025
SEC Permanently Bars Brite Advisors USA Over Custody Rule Violations and Undisclosed Conflicts

The SEC has permanently barred Brite Advisors USA from operating as an investment adviser, citing serious custody rule violations and undisclosed conflicts of interest tied to its offshore affiliate, as reported by Financial Advisor News.

July 9, 2025
UBS Confirms Data Breach After Cyberattack on External Vendor

UBS Group AG has confirmed that a cyberattack on one of its third-party suppliers resulted in stolen company information, though no client data was compromised.