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SEC Approves Broker-Dealer Use of Projected Performance Under Rule 2210
An AltsWire legal commentary reports that the SEC approved an amendment to FINRA Rule 2210 on October 15, 2026, permitting certain projected-performance and target-return communications by broker-dealers under specified conditions. The author describes a change from the rule's longstanding general prohibition on projections.
The article says FINRA had yet to announce the effective date in a Regulatory Notice. It connects the new conditions with the framework used for investment advisers' hypothetical performance. The reported approval should therefore be distinguished from an immediately effective or unrestricted permission to use projections.
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This Sequoia Research summary was prepared with AI assistance from the credited source. It is not independent verification of the source’s claims. The original publisher retains authorship of its reporting; follow the source link for the complete article.
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