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 | |
| Approval Order | PDF - 259.84 KB | |
| Notice of Review and Stay | PDF - 131.64 KB |