Practice - Regulatory/Compliance
FINRA Clarifies Suitability Terms
Tuesday, December 11, 2012
Print
Email
Reprints

The Financial Industry Regulatory Authority has updated its guidance to clarify what the agency meant by “customer” and “investment strategy” in FINRA Rule 2111, also known as the Suitability Rule.  

Get access to this article and thousands more...

All On Wall Street articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?