Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month, we report on a significant proposed rule change that would permit firms to make performance projections when marketing to institutional investors, the latest on the challenge to FINRA’s constitutionality in the DC Circuit, updates on FINRA’s prosecution of Reg BI violations, and more.
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