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    • New FINRA Suitability Rule to Take Effect July 9

    July 9, 2012 by Maria Wood

    By Maria Wood

    July 2, 2012 •

    It’s finally here. After over a year of discussion and a postponement, Financial Industry Regulatory Authority (FINRA) Rule 2111 on suitability requirements governing the sale of securities is set for implementation July 9. Also scheduled to go into effect on the same date is its companion regulation, FINRA Rule 2090, or Know Your Customer. Click here to read more…

    Originally Posted at LifeHealthPro on July 2, 2012 by Maria Wood.

    Categories: Industry Articles
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