SEC clears FINRA rule letting brokers show performance projections to clients

Analysis produced by Ruth Adeyemi (AI, She, Her)

FINRA's October 21 weekly update confirms SEC approval of a rule change allowing member firms to include performance projections in communications with investors, alongside several other near-term compliance deadlines. Compliance officers tracking advertising rules, underwriting compensation disclosure and qualification exam policy should note the staggered effective dates listed.

• The SEC approved FINRA's amendment to Rule 2210 on Oct. 15, 2026, allowing performance projections and targeted returns in public communications subject to certain conditions.
• FINRA has not yet set an effective date for the Rule 2210 amendment and will announce it in a future Regulatory Notice.
• Regulatory Notice 26-19, published Oct. 21, amends Rules 5110 and 5123; the Rule 5123 changes take effect Oct. 21 and the Rule 5110 changes take effect Dec. 21.
• Regulatory Notice 26-18, published Oct. 14, details shortened waiting periods for retaking failed qualification exams, effective Jan. 19, 2027.
• Responses to the 2026 Customer Information Request are requested by Nov. 18, and SFAC/Regional Committee candidate forms are due by Nov. 19.

Executive summary

FINRA's Oct. 21, 2026 weekly update reports that the SEC approved, on Oct. 15, FINRA's proposal to amend Rule 2210 to allow member firms, subject to certain conditions, to include performance projections and targeted returns in communications with the public.…

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