FINRA proposed amendments to its rules to allow members to project the performance of, or provide a targeted return regarding, security or asset allocations.

A broker-dealer settled charges with FINRA for causing customers to overpay in excess sales charges and fees on their accounts.

An investment adviser settled charges with the SEC for inaccurately describing investments in periodic reports.

A broker-dealer settled FINRA charges for overstating the projected yield and annual income for nine money market funds on customer account statements.

A broker-dealer and a former representative settled FINRA charges for suitability and supervisory failings concerning recommendations involving Unit Investment Trusts and preferred stock of a real estate investment trust.