Month: May 2012
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. The new Rule codifies previous interpretations […]Read Post
Investors seeking information about their brokers will now enjoy upgraded features on the FINRA BrokerCheck website, including the following: – Centralized access to licensing and registration information on current and former brokers, brokerage firms, investment adviser representatives and investment advisor firms. – The ability to search based upon both main office and branch office locations, as well […]Read Post
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