S. Lawrence Polk

S. Lawrence Polk

Eversheds Sutherland (US) 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 , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Suitability Rule
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