Doing Business Under FINRA’s New Suitability and KYC Rules

April 10, 2012
Practical Compliance & Risk Management for the Securities Industry

The Financial Industry Regulatory Authority, Inc. has delayed the implementation date of its new rules governing “know your customer” and suitability to July 9, 2012, to allow broker/dealers to better supervise and educate associated persons regarding the modified obligations. As it does not appear that any further reprieves will be forthcoming, this article will outline the scope of both Rules and the practical effects of the Rules on registered representatives, supervisors and compliance professionals. 

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