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Maxwell Raymond Rich

Morrison & Foerster LLP

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FINRA Proposes to Modify its Communications with the Public Rule to Allow More Parties to Receive Projections and Targeted Returns

In November of 2023, FINRA made an initial rule filing with the Securities and Exchange Commission (SEC) pursuant to Exchange Act Rule 19b-4, seeking to amend FINRA Rule 2210 – Communications with the Public (the...more

3/13/2024  /  Financial Industry Regulatory Authority (FINRA) , Institutional Investors , Investment Company Act of 1940 , Private Funds , Qualified Purchaser , Securities Act of 1933 , Securities and Exchange Commission (SEC) , Securities Regulation
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