Matthew Lee

Latham & Watkins LLP

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FINRA Proposes to Relax Communications Rule for Institutional Investors and Qualified Purchasers

The proposed amendment seeks to modify the existing framework of FINRA Rule 2210 to accommodate the use of certain projections and targeted returns. On November 13, 2023, the Financial Industry Regulatory Authority...more

12/4/2023  /  Disclosure Requirements , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , Institutional Investors , Investment Advisers Act of 1940 , Investment Management , Securities and Exchange Commission (SEC)
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