Letters

FINRA Regulatory Notice 17-06

Summary

SIFMA provided comments to FINRA on regulatory notice 17-06, a proposal to amend communications with the public rule to permit the distribution of customized hypothetical investment planning illustrations that include the projected performance of an asset allocation/investment strategy.

See also:
Regulatory Notice 17-06

PDF

Submitted To

FINRA

Submitted By

SIFMA

Committee

Compliance and Regulatory Policy Committee

Date

27

March

2017