Posts tagged with: "2111"
Results 1 - 20 of 168
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
12 Apr 2011, 8:15 am by Joel Beck
Last week FINRA filed a request with the SEC to delay the implementation date of new FINRA Rule 2090, the know your customer rule, and FINRA Rule 2111, the new suitability rule.   [read post]
31 May 2012, 6:41 am by Joel Beck
FINRA Rule 2111, the new suitability rule, will become effective on July 9, 2012.   [read post]
14 Oct 2013, 4:21 am by Joshua Horn
One of the greater challenges arising from the implementation of Rule 2111 in July 2012 was how firms would manage hold recommendations because they now have to be suitable. [read post]
26 Feb 2013, 2:00 pm
  Since the implementation of Rule 2111, questions have arisen regarding the meaning of “customer” and “investment strategy. [read post]
26 Jul 2012, 7:03 am
While FINRA Rule 2111 is based upon NASD Rule 2310 - the prior suitability rule - FINRA Rule 2111 expands the old rule in several significant ways. [read post]
26 Jul 2012, 7:03 am
While FINRA Rule 2111 is based upon NASD Rule 2310 - the prior suitability rule - FINRA Rule 2111 expands the old rule in several significant ways. [read post]
29 May 2012, 6:46 am
The Securities and Exchange Commission approved FINRA’s new Suitability Rule (FINRA Rule 2111) in November of 2010.  [read post]
7 Jul 2012, 1:34 pm by Securites Lawprof
FINRA's new Know-Your-Customer (Rule 2090) and Suitability (Rule 2111) Rules go into effect on July 9. [read post]
18 Nov 2010, 12:24 pm by Securites Lawprof
The SEC granted approval, on an accelerated basis, to FINRA's proposed rule change to adopt FINRA Rule 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability) in the consolidated FINRA rulebook. [read post]
13 Apr 2011, 1:53 pm by Securites Lawprof
FINRA filed with the SEC a proposed rule change to delay the implementation date for FINRA Rule 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability), as approved in SR-FINRA-2010-039, until July 9, 2012 (from Oct. 7, 2011). [read post]
17 Dec 2012, 7:56 am by Editorial Board
On December 10, FINRA issued Regulatory Notice 12-55, which provides regulatory guidance in the form of a FAQ regarding customer suitability issues under FINRA Rule 2111. [read post]
14 Jun 2007, 1:36 am
Golden (The University of Texas School of Law) has posted "Patent Trolls" and Patent Remedies (Texas Law Review, Vol. 85, p. 2111, 2007) on SSRN. [read post]
12 Mar 2013, 6:26 am
Rule 2111 of the Financial Industry Regulatory Authority (FINRA) requires firms to have a supervisory system to focus on the detection, investigation and follow-up of “red flags” indicating that a Registered Representative may have recommended an unsuitable investment strategy with both a security and a non-security component. [read post]
4 Jan 2012, 7:38 am by D. Daxton White
Churning Rule 2111 also touches on the concept of churning (or excessive trading).  [read post]
12 Aug 2011, 12:25 pm by admin
New FINRA Rule 2111 (Suitability) Modeled after former NASD Rule 2310, Rule 2111 requires that a firm or associated person recommend a transaction or strategy based on the suitability for the customer.  [read post]
13 Jun 2012, 12:15 pm
Rule 2111 has significant implications for broker-dealers who maintain retail brokerage accounts. [read post]
29 May 2012, 6:46 am
The Securities and Exchange Commission approved FINRA’s new Suitability Rule (FINRA Rule 2111) in November of 2010. [read post]