In late February, FINRA proposed to further amend Rule 2210 (Communications with the Public) (the "rule"). The amended proposal would permit a FINRA member to project performance or provide a targeted return with respect to a security or asset allocation or other investment strategy...
Register Now: IDC Webinar on “Board Oversight of Operational Risk” Join IDC on Tuesday, April 16, from 3:00 to 4:00 p.m. ET for an insightful webinar on Board Oversight of Operational Risk. Andy Iseman (Independent Trustee, Pacific Life Funds) will moderate a discussion with Kelly O...
