Posts tagged with: "2111"
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15 Feb 2013, 1:28 pm
According to FINRA Rule 2111, churning may be evident if trading occurred that was not consistent with the client’s financial goals, risk tolerance, and knowledge of investment strategies. [read post]
5 Feb 2013, 11:00 am
FINRA has also developed suitablity rules for transactions found in FINRA Rule 2111. [read post]
27 Nov 2012, 1:03 pm
” FINRA Rule 2111 codifies a brokerage firms and associated persons’ obligations with respect to churning/excessive trading. [read post]
11 Nov 2012, 5:01 pm
Sometimes petitions for review do succeed, as the present decision shows.The petition had been filed after Board of appeal (BoA) 3.3.01 in its decision T 584/09 – which was reported on this blog (here) – had revoked the opposed patent, which the Opposition Division (OD) had maintained in amended form.During the opposition proceedings, the opponent filed document D8 which it believed relevant for inventive step. [read post]
1 Nov 2012, 8:04 am
Further, FINRA examiners are looking for updated policies and procedures to account for Rule 2111 as well as Rule 2090 (know your customer). [read post]
1 Nov 2012, 8:04 am
Further, FINRA examiners are looking for updated policies and procedures to account for Rule 2111 as well as Rule 2090 (know your customer). [read post]
25 Oct 2012, 4:00 am
An example of a situation where acceptance of a resignation mandated by statute: Section 2111 of the Education Law provides that an officer of a school district may "resign at a district meeting" or, in the alternative, the officer "shall also be deemed to have resigned if he filed a written resignation with the district superintendent of his district and such superintendent endorses thereon his approval and files the same with the… [read post]
16 Oct 2012, 11:49 am
Section 2111 adds a new exemption to transfers not subject to the Pennsylvania Inheritance Tax: (s) A transfer of an agricultural commodity, agricultural conservation easement, agricultural reserve, agricultural use property or a forest reserve, as those terms are defined in Section 2122(a), to lineal decedents or siblings is exempt from inheritance tax. [read post]
4 Oct 2012, 3:55 am
(MPEP 2111) Unfortunately, the shorthand notation “BRI” is often mistaken as the standard. [read post]
29 Aug 2012, 11:50 am
On July 9, 2012 new FINRA Rule 2090 and FINRA Rule 2111 will take effect. [read post]
17 Aug 2012, 2:07 am
Here are some of the latest entries: - FINRA Proposes Corporate Financing Rule Changes for Deferred Comp Arrangements - Study: Securities Class Action Filings Involving Accounting Allegations Increase - Chamber of Commerce Goes After Glass Lewis - FINRA Rule 2111 Becomes Effective July 9th - Tips for SEC's New Confidential Submission Process The Second Deal Cube Tourney: Round One; 3rd Match As noted in these rules (and keep sending more pics for the next tourney),… [read post]
7 Aug 2012, 8:44 am
Based on the total number of FINRA arbitration claims filed during these years, churning claims still represent approximately 5% of the total claims filed. (1) FINRA FINRA Rule 2111 (generally modeled after former NASD Rule 2310) codifies a brokerage firms and associated persons’ obligations with respect to churning/excessive trading. [read post]
7 Aug 2012, 8:44 am
Based on the total number of FINRA arbitration claims filed during these years, churning claims still represent approximately 5% of the total claims filed. (1) FINRA FINRA Rule 2111 (generally modeled after former NASD Rule 2310) codifies a brokerage firms and associated persons’ obligations with respect to churning/excessive trading. [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]
17 Jul 2012, 2:14 pm
A new Financial Industry Regulatory Authority (FINRA) rule (Rule 2111) significantly broadens stockbroker duties owed to customers. [read post]
12 Jul 2012, 11:05 am
In addition, FINRA Rule 2111 codifies several important interpretations of the predecessor rule and imposes a few new or modified obligations. [read post]
11 Jul 2012, 9:00 pm
- Professor Stephanos Bibas [read post]
11 Jul 2012, 9:00 pm
- Professor Stephanos Bibas [read post]
11 Jul 2012, 7:57 am
Regardless of which side was right or wrong (cough…we were right, they were wrong), Rule 2111 is pretty much an explicit adoption of what we thought was required all along. [read post]
