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Keywords: Suitability
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Journal Articles
FINRA gives member firms a thumbs up on suitability rule compliance
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (4): 34–37.
Published: 25 November 2013
... to comply and a set of best practices for compliance. Design/methodology/approach – The paper explains the three suitability obligations set forth in Rule 2111, the mechanics of FINRA's suitability examinations, overall findings from FINRA's recent suitability examinations, and some measures...
Journal Articles
Selected FINRA notices and disciplinary actions, March‐May 2012
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (3): 84–98.
Published: 07 September 2012
...: SEC Approves Consolidated Telemarketing Rule,” and Regulatory Notice 12‐25, May 2012, “Suitability: Additional Guidance on FINRA's New Suitability Rule”. Findings Notice 12‐17: FINRA Rule 3230 (Telemarketing) updates exiting NASD and NYSE rules that require member firms to maintain and consult do...
