- with readers working within the Technology industries
On February 10, 2026, FINRA filed with the U.S. Securities and Exchange Commission (“SEC”) proposed amendments to FINRA Rule 2210, Communications with the Public, which would allow broker-dealer members to include hypothetical performance projections and targeted returns for securities in communications with investors—which is currently generally prohibited.
The proposal would relax existing restrictions on the use of “predictions and projections” by allowing communications with investors that include projections and targeted returns under specific conditions, remove limits on which investors can receive projections, drop strict disclosure wording requirements and permit the use of back-tested hypothetical performance.
Please see our alert here.
Originally published in REVERSEinquiries: Volume 7, Issue 2.
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