FINRA Kicks Off the Holiday Season With a Proposal to Permit

FINRA has offered a gift to member firms and fund managers just in time for the holiday season — but like a new puppy, the gift comes with a lot of responsibility. FINRA filed a...

Related Keywords

, Limitation On Communications , Investment Company , Investment Company Act , Communications Provided , Supplemental Material , Projected Performance , Targeted Returns , Marketing Rule , Regulation Best Interest , Supplementary Material , Budge Collins , Island Securities ,