FINRA Offers Guidance on FINRA Suitability Rule 2111

Stockbroker Law - Tuesday, February 26, 2013
FINRA Offers Guidance on FINRA Suitability Rule 2111

In Regulatory Notice 12-55 (http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p197435.pdf), FINRA addressed a requiremen ..

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Deferred Variable Annuities and Client Suitability

Stockbroker Law - Saturday, February 23, 2013
Deferred Variable Annuities and Client Suitability

Deferred variable annuities are investment products which have features with both insurance and securities (mutual fund) characteristics. Th ..

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