Posts tagged with: "2111"
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9 Jul 2012, 7:23 am
The rule was written by the Financial Industry Regulatory (FINRA), and is called the Know-Your-Customer Rule, or FINRA Rule 2090; a companion piece to the rule is FINRA Rule 2111. [read post]
9 Jul 2012, 5:07 am
On July 9, FINRA Rule 2111 took effect, but it has lead some to question whether this suitability rule is simply “fiduciary duty light”. [read post]
7 Jul 2012, 1:34 pm
FINRA's new Know-Your-Customer (Rule 2090) and Suitability (Rule 2111) Rules go into effect on July 9. [read post]
2 Jul 2012, 4:21 am
If the property is no longer devoted to the business of agriculture for 7 years beyond the transferor's date of death it becomes subject to the inheritance tax.Here is the exact wording of the new law:Section 2111. [read post]
26 Jun 2012, 9:39 am
Rule 2111 will now dictate that advisors do have this requirement. [read post]
20 Jun 2012, 3:48 pm
The Financial Industry Regulatory Authority (FINRA) released a Regulatory Notice in May clarifying its new suitability rule, Rule 2111. [read post]
20 Jun 2012, 3:48 pm
The Financial Industry Regulatory Authority (FINRA) released a Regulatory Notice in May clarifying its new suitability rule, Rule 2111. [read post]
19 Jun 2012, 2:05 pm
The new Financial Industry Regulatory Authority ("FINRA") Rule 2090 "Know Your Customer" and Rule 2111 "Suitability" will become effective on July 9, 2012. [read post]
16 Jun 2012, 11:01 am
It is stated in document D43 that the E1-transformed cell lines produced the E1A proteins and the 21-kDa E1B proteins in comparable amounts, whereas in preliminary experiments expression of the 55-kDa E1B protein was found to be more variable (see page 2111, left column, paragraphs under the heading “Synthesis of Ad5 E1 proteins in E1-transformed amniocyte cell lines”, and Figure 4). [read post]
13 Jun 2012, 12:15 pm
Rule 2111 has significant implications for broker-dealers who maintain retail brokerage accounts. [read post]
13 Jun 2012, 12:15 pm
Rule 2111 has significant implications for broker-dealers who maintain retail brokerage accounts. [read post]
12 Jun 2012, 10:15 pm
In regards to suitability, FINRA Rule 2111 will replace NASD Rule 2310 on July 9, 2012. [read post]
12 Jun 2012, 3:45 pm
Written by: Jay Gould and Peter Chess The Financial Industry Regulatory Authority (“FINRA”) released new guidance last month regarding new FINRA Rule 2111 (the “Suitability Rule”), which requires a broker-dealer to have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through reasonable diligence by the broker-dealer. [read post]
1 Jun 2012, 5:06 am
In addition, Rule 2111 defines suitability when it comes to investment recommendations. [read post]
31 May 2012, 2:13 pm
On July 9, FINRA Rules 2090 and 2111 go into effect. [read post]
31 May 2012, 6:41 am
FINRA Rule 2111, the new suitability rule, will become effective on July 9, 2012. [read post]
29 May 2012, 9:07 am
" FINRA Rule 2111. [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]
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]
25 May 2012, 12:59 am
Amendments Not Agreed To Amendment No. 2111 (Sen. [read post]
