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Keywords: Suitability rule
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (2): 66–89.
Published: 08 June 2012
... and compliance procedures may help firms assess the adequacy of controls with respect to complex products. Approval of the sale of complex products. Under FINRA's suitability rule, a firm or registered representative must perform a reasonable basis suitability determination before recommending a transaction...
