Broker-Dealer Suitability—FINRA Summarizes Exam Approach and Highlights Effective Practices

October 2, 2013
Client Alert

The Financial Industry Regulatory Authority, Inc. recently issued Regulatory Notice 13-31 summarizing the typical approach of FINRA examinations on suitability compliance and highlighting effective practices used by member firms to meet suitability obligations under FINRA Rule 2111.

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