FINRA’s New Suitability Rule

Stockbroker Law - Tuesday, May 29, 2012
FINRA’s New Suitability Rule

The Securities and Exchange Commission approved FINRA’s new Suitability Rule (FINRA Rule 2111) in November of 2010.  Since then, FINRA issued Regulatory Notice 11-02 announcing this approval and its requirements.  Additionally, FINRA Regulatory Notice 11-25 offers further guidance for Rule 2111, which has an implementation date of July 9, 2012. 


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FINRA Upgrades its BrokerCheck Stockbroker Online Search Website

Stockbroker Law - Friday, May 25, 2012
FINRA Upgrades its BrokerCheck Stockbroker Online Search Website

 


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