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

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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