About This Course
This CLE program addresses current developments in advertising regulation. FINRA experts discuss FINRA’s proposed rule to permit investment planning forecasts and the MSRB’s proposed advertising rule changes.
After attending this session, you will be able to:
- Discuss Revisions made to FINRA Rules 2210 (Communications With the Public) and Rule 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings) in response to the retrospective review of its communications rules.
- Understand Details concerning a proposal to permit projections of performance in investment planning illustrations.
- Discuss FINRA’s initiative to reform how information is disclosed in firm communications.
- Understand details concerning a proposal to amend the FINRA Corporate Financing Rule.