Tag:FINRA

United States: FINRA Opens the Door to Projected Returns

Oct 16 2026

By Thoreau A. Bartmann, Lance C. Dial, Pamela A. Grossetti, and Pablo J. Man

On 15 October 2026, the Securities and Exchange Commission approved amendments to FINRA Rule 2210 that will permit broker-dealers to include projected performance and targeted returns in certain investor communications.¹

United States: SEC Moves to Open Private Markets to Retail Investors

Oct 01 2026

By: Jon-Luc Dupuy, Timothy C. Foley, Hannah J. Munro, and Jordan A. Knight

On 30 September 2026, the SEC proposed rule amendments advancing Chairman Paul S. Atkins’ “responsible retailization” of private markets, expanding retail access to private-market strategies while adding key investor safeguards.