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Tag Archives: FINRA Rule 2111

Broker Advocacy, Broker Consulting, Stock Broker Consulting

FINRA’s New Suitability Rule – Some Best Practices in Light of FINRA Rule 2111

Posted on May 25, 2013 by Patrick Mahoney

Since FINRA implemented FINRA Rule 2111 (aptly named, the “Suitability Rule”) in July 2012, broker-dealers have been scrambling to update their internal systems and educate their brokers to prepare for the rigors of the rule change.  Indeed, the Suitability Rule creates a totally ambiguous (and borderline impossible) standard that brokers are expected to meet before he […]

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Posted in Broker Advocacy, Broker Consulting, Stock Broker Consulting  |  Tagged Attorney, broker, Broker Advocacy, broker attorney, CRD, FINRA Rule 2111, lawyer, Suitability Rule, U4, U5

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  • FINRA Arbitration
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    • Failure to Supervise
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