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Just Off-Target: FINRA Proposal on Projections and Targeted Returns | Dechert LLP
The Proposed Amendments would permit FINRA members to include targeted returns or projected performance solely if the communication is either: (i) an “institutional communication” as.
Yukako kawata dec
Edwardp macdonald
Investment company
Hartford funds distributors
Exchange commission
Efficiencies for fund managers in most
Financial industry regulatory authority inc
Fund adviser
Fund advisers
Financial industry regulatory authority
Proposed amendments
Investment advisers act
Marketing rule
Investment company act
Disclosure regarding hypothetical
Disclosure regarding assumptions
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