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