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Partner Matthew C. Boba in Securities Industry Publication

An article written by Chapman partner Matt Boba appeared in Practical Compliance and Risk Management for the Securities Industry. Titled "Doing Business Under FINRA’s New Suitability and KYC Rules," the article outlined the scope of FINRA Rule 2090 ("know your customer") and FINRA Rule 2111 (suitability) and discussed the practical effects of the rules on registered representatives, supervisors, and compliance professionals.

View Relevant Document(s):

• Click here to read the article.