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Keywords: FINRA rule 2210
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2019) 20 (3): 6–9.
Published: 21 August 2019
...) communication that is distributed or made available only to Institutional Investors but does not include a member's internal communications. (See FINRA Rule § 2210(a)(3)). 3. FINRA Interpretive Letter to ALPS Distributors, Inc. (April 22, 2013) (the “2013 Letter” which permits pre-inception index...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (4): 36–39.
Published: 06 November 2017
... sales materials distributed solely to institutional investors. Design/methodology/approach Provides background, including the application of FINRA Rule 2210, and explains the conditions under which fund marketing materials may contain Related Performance Information. Findings While...
