Month: May 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.   The new Rule codifies previous interpretations […]

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FINRA Upgrades its BrokerCheck Stockbroker Online Search Website

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 […]

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