know your customer rule
Tag Archive

June 26, 2012

FINRA Rule 2111 regarding Suitability

Financial Industry Regulatory Authority Inc.’s Rule 2111 covers general

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January 21, 2011

FINRA Rules on Private Placements

Private Placements have become a hot button issue for FINRA regulators and

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January 13, 2011

FINRA Know Your Customer Rule

Financial Advisors have a fiduciary duty to research investments and to make sure

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