Tag:Rule 206(4)-1

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 Risk Alert Offers Initial Observations on Compliance

Apr 18 2024

By: Michael S. Caccese and Lance C. Dial

On 17 April 2024, the Securities and Exchange Commission (SEC) Division of Examinations issued a risk alert entitled “Initial Observations Regarding Marketing Rule Compliance” (the Alert). The Alert reflected the SEC examination staff’s preliminary observations coming from its examination program and noted that compliance with Rule 206(4)-1 (the Marketing Rule) continues to be a priority for the SEC staff.