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ICI Default BG
Comment Letter

ICI Comment Letter on Proposed Amendments to FINRA Rule 2210

Last month, FINRA filed with the SEC proposed amendments to Rule 2210 (Communications with the Public) (the "rule"). If adopted, the amendments would permit a FINRA member to project the performance or provide a targeted return with respect to a security or asset allocation or other...
ICI Default BG
Memo#
35550

ICI Files Comment Letter on Proposed Amendments to FINRA Rule 2210

Last month, FINRA filed with the SEC proposed amendments to Rule 2210 (Communications with the Public) (the "rule"). If adopted, the amendments would permit a FINRA member to project the performance or provide a targeted return with respect to a security or asset allocation or other...
ICI Default BG
Memo#
35484

ICI Files Comment Letter with SEC on Predictive Data Analytics Proposal

On October 10, ICI filed a comment letter with the Securities and Exchange Commission (SEC or "Commission") on its proposal regarding conflicts of interest associated with the use of predictive data analytics (PDA) and other "covered technologies" by broker-dealers and investment...
ICI Default BG
Memo#
34839

2023 Report on FINRA's Examination and Risk Monitoring Program

The Financial Industry Regulatory Authority ("FINRA") recently issued its 2023 Report on FINRA's Examination and Risk Monitoring Program. The report addresses, among other topics, member firms' communications promoting ESG factors. It describes findings from recent oversight...
ICI Default BG
Memo#
34804

SEC Staff Issues New Investment Adviser Marketing Rule FAQ

On January 11, 2023, the Securities and Exchange Commission Division of Investment Management staff issued a new FAQ regarding the presentation of gross and net performance of a single investment or a group of investments in a private fund under the Investment Adviser Marketing Rule.