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FINRA Issues Additional Guidance on New Suitability Rule

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June 6, 2012
Client Alert

New Financial Industry Regulatory Authority, Inc.  rules governing broker-dealer “know your customer” and suitability obligations become effective July 9, 2012. In response to several requests, FINRA recently issued Regulatory Notice 12-25 providing additional guidance on implementing the suitability rule. This Client Alert highlights several of the key issues addressed in the guidance.  

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