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ARTICLE · 21 DECEMBER 2023

Financial Markets And Funds Quick Take | Issue 21

Katten
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Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.

United StatesFinance and Banking
Wendy Cohen
Wendy Cohen
Daniel J. Davis
Daniel J. Davis
Carl E. Kennedy
Carl E. Kennedy
Christoper T. Shannon
Christoper T. Shannon
Lance A. Zinman
Lance A. Zinman
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Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.

To read more issues of Katten's Financial Markets and Funds Quick Take, please click here.

FINRA Acts to Update its Advertising Rule

By Susan Light

The Financial Industry Regulatory Authority (FINRA) filed a proposed rule change with the Securities and Exchange Commission (SEC) on November 13, 2023, to amend FINRA Rule 2210. This amendment would allow a broker-dealer to project performance or provide a targeted return with respect to a security, asset allocation or other investment strategy in a communication distributed solely to qualified purchasers. Read the proposed FINRA amendment.

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