Background - FINRA’s new suitability requirement, Rule 2011, went into effect July 9, 2012. Because the rule was such a departure from prior standards, FINRA issued Regulatory Notice 12-25 (May 2012) to explain the rule...more
12/19/2012 - Broker-Dealer FINRA Investment Adviser Suitability Rule
Originally published in the Investment Adviser Association Newsletter on December 3, 2012. The Financial Industry Regulatory Authority (FINRA) recently issued guidance (Guidance) stating that it will now accept requests...more
12/8/2012 - Arbitration FINRA Investment Adviser SEC
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