Posts tagged with: "2111"
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9 Apr 2012, 5:28 pm
27 Mar 2012, 3:17 pm
See Wachovia Securities, LLC v.Brand, No. 10-2111 (4th Cir. [read post]
26 Mar 2012, 9:02 am
A-2111-08T3 (App. [read post]
21 Mar 2012, 7:16 am
Finally, with the adoption of Rule 2111, firms should also focus more on suitability, because FINRA will certainly look to determine if firms are complying with the new rule. [read post]
21 Mar 2012, 6:24 am
§ 2111. [read post]
20 Mar 2012, 11:16 am
§ 2111. [read post]
14 Mar 2012, 7:24 am
New FINRA Rule 2111(Suitability) is modeled after former NASD Rule 2310.) [read post]
12 Mar 2012, 2:00 am
Rule 2111(a) requires FINRA members and their associated person 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 the reasonable diligence of the member or associated person to ascertain the customer’s investment profile. [read post]
4 Jan 2012, 7:38 am
FINRA Rule 2111 Rule 2111 adopts past SEC and FINRA guidance by applying suitability obligations not only to recommended securities transactions, but also to recommended investment strategies involving a security or securities. [read post]
8 Dec 2011, 6:18 am
Category: FYI;New in the Library Body: Causes of Action 2d has released volume 50 which includes the following seven articles: Cause of Action to Challenge Development of Wind Energy Turbine or Wind Energy Farm Cause of Action for Medical Malpractice from Oral Contraceptive Injury Cause of Action by Motorcyclist for Injury or Death Resulting from Accident Involving Automobile Cause of Action by Tenant to Recover Security Deposit from Landlord Cause of Action for Modification of… [read post]
8 Oct 2011, 9:02 am
FINRA's new KYC and suitability rules (FINRA Rules 2090 and 2111) Click here to read the complete post... [read post]
12 Aug 2011, 12:25 pm
” 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]
1 Aug 2011, 6:51 am
Court of Appeal (Civil Division) Faith Stewart v Secretary of State for Work and Pensions [2011] EWCA Civ 907 (29 July 2011) Suckrajh, R (on the application of) v The Asylum & Immigration Tribunal & Anor [2011] EWCA Civ 938 (29 July 2011) Iqbal v Ahmed [2011] EWCA Civ 900 (29 July 2011) Hayes v Merseyside Police [2011] EWCA Civ 911 (29 July 2011) Austin & Ors v Miller Argent (South Wales) Ltd [2011] EWCA Civ 928 (29 July 2011) Modi & Anor v Clarke [2011] EWCA Civ 937 (29 July 2011)… [read post]
28 Jul 2011, 7:23 pm
The pond is located at 2111 Butterfield Road, according to Downers Grover Police Sgt. [read post]
7 Jun 2011, 4:16 pm
Two bills proposing the legalization of VLTs--SB 1118 and HB 2111--were introduced this legislative session. [read post]
25 May 2011, 11:46 pm
Therasense, now Abbott, got into a patent battle involving 5,820,551 and similar patents claiming "disposable blood glucose test strips for diabetes management. [read post]
25 May 2011, 1:30 pm
§ 706, 2111 (8th ed. [read post]
23 May 2011, 4:34 am
Considering that banks throw a fit a simple requirements like FINRA’s new Rule 2111, which introduces the everyone-thought-banks-already-had-that-duty duty to “have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer,” it’s unlikely we’ll see any sort of auditing reform in the near future unless the Consumer Financial Protection Bureau forces it on them. [read post]
13 May 2011, 3:32 pm
§2111, et seq. [read post]
