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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Ponzi Schemes, Private Placements and Pickpockets

Stockbroker Law - Tuesday, March 13, 2012
Ponzi Schemes, Private Placements and Pickpockets

 


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Immediate Annuities? FINRA Cautions Seniors on Immediate Annuity Fraud.

Stockbroker Law - Tuesday, January 17, 2012
Immediate Annuities? FINRA Cautions Seniors on Immediate Annuity Fraud.

 


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THE RIGHTS OF INVESTORS PREVAIL IN NEW YORK STATE COURT OF APPEALS (ASSURED GUARANTY (UK), LTD. V. JP MORGAN INVESTMENT MANAGEMENT, INC.)

Stockbroker Law - Monday, January 16, 2012
THE RIGHTS OF INVESTORS PREVAIL IN NEW YORK STATE COURT OF APPEALS (ASSURED GUARANTY (UK), LTD. V. JP MORGAN INVESTMENT MANAGEMENT, INC.)

 


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