S. Lawrence Polk

S. Lawrence Polk

Sutherland Asbill & Brennan LLP

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FINRA Reverses Course and Issues Guidance Changing Its Interpretation Regarding the Key Issues of "Potential Investors" and...

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

Welcome to the Party? FINRA Invites Investment Advisers to Utilize its Arbitration Procedures

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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