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FINRA Proposes Amendment to Advertising Rule to Allow Certain Performance Projections

FINRA recently proposed an amendment to its advertising rule that would permit firms to distribute investment projections of an asset allocation or other investment strategy (but not a single security) using customized, forward-looking illustrations. FINRA’s Rule 2210 generally prohibits performance projections and statements that past performance will recur. In its regulatory notice, FINRA stated that information regarding the expected performance of an asset allocation or other investment strategy that does not project the performance of individual securities could better inform investors about the assumptions underlying the investment recommendation. FINRA stated that approximately 1,900 firms will choose to rely on the proposed amendment and is seeking comment on the proposal by March 27, 2017.

 
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