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Investment products are not FDIC insuredNot a bank deposit or obligationMay lose valuePast performance disclosure (Rule 2210(d)(2))

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🔴FINRA Rule 2210(d)(1)(A)

Prohibited guarantee language. FINRA prohibits any statement that guarantees returns or implies certainty of investment outcomes.

Suggested replacement:

“historically competitive yields”

2210(d)(1)(A)No false, exaggerated, unwarranted, or misleading statements

2210(d)(1)(B)Balanced presentation — discuss risk alongside reward

2210(d)(1)(D)Superlatives must be substantiated with source and date

2210(d)(2)Past performance disclosure required near any historical reference