Investment News, “Modernizing Rule 2210: What FINRA’s Recent Proposals Signal for Broker-Dealer Communications,” by Gregg Breitbart, Esq., 9-15-2026

Kaufman Dolowich’s Gregg Breitbart, Co-Chair of KD’s Financial Services and Institutions Practice Group and Co-Managing Partner of the firm’s Fort Lauderdale office, recently authored an article in InvestmentNews examining FINRA’s recent proposals relating to Rule 2210 and how a shift toward a more flexible, risk-based supervisory model could affect broker-dealer communications and compliance programs.

In the article, Mr. Breitbart discusses FINRA’s proposed move to a risk-based framework for supervising and reviewing retail communications, targeted changes to retail communication filing requirements, and proposed updates to how Rule 2210 treats recommendations, social media and generative AI. He also analyzes a separate proposal that would create a narrow exception to Rule 2210’s general prohibition on projected performance and targeted returns, subject to specified conditions. While the proposals are not yet final, the article underscores the central role of written supervisory procedures, documentation, training and robust risk-based supervisory and compliance systems as firms prepare for potential changes.

Read the full article here: Modernizing Rule 2210: What FINRA’s recent proposals signal for broker-dealer communications – InvestmentNews