Posts tagged with: "2111" Results 41 - 60 of 393
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
FINRA Rule 2111 requires that a registered representative have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer. [read post]
15 Nov 2022, 6:07 am by Thomas J. Crane
___, 142 S.Ct. 2111, 213 L.Ed.2d 387 (2022),  is an odd decision. [read post]
9 Jul 2012, 5:07 am by Joshua Horn
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]
8 Jun 2021, 10:21 am by InvestorLawyers
  According to FINRA, during January 2018 through May 2019,  Lucchetto excessively and unsuitably traded a customer’s account, in violation of FINRA Rules 2111 and 2010. [read post]
27 Nov 2012, 1:03 pm by D. Daxton White
” FINRA Rule 2111 codifies a brokerage firms and associated persons’ obligations with respect to churning/excessive trading. [read post]
27 Feb 2018, 1:30 pm by Silver Law Group
This suspension is a result of Hickman’s violations of NASD Rule 2310, and FINRA Rules 2111 and 2010, regarding the unsuitable trading of Unit Investment Trusts, or “UITs. [read post]
3 Mar 2013, 2:10 pm by Bill Stalter
But, the Michigan RFP can be faulted for cutting off the diligence requirements of FINRA Rule 2111. [read post]
Robert Frank Spiegel of Staten Island, New York submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly engaging in excessive and unsuitable trading in violation of FINRA Rules 2111 and 2010. [read post]
5 Feb 2013, 11:00 am by Ernest E. Badway
FINRA has also developed suitablity rules for transactions found in FINRA Rule 2111. [read post]
3 Oct 2017, 8:05 am by Adam Weinstein
  The FINRA investigation is looking into potential violations of NASD Rules 2310 and 2110 or Rules 2111 and 2010 relating to the suitability of recommendations to purchase securities made to one customer. [read post]
3 Oct 2017, 5:10 am
 (MPEP 2111) Unfortunately, a complete BRI analysis is often mistaken by overemphasis of the “BRI” mantra. [read post]
9 Nov 2022, 3:37 am by Simon Lovegrove (UK)
On 8 November 2022, there was published in the Official Journal of EU the following regulatory technical standards (RTS) and implementing technical standards (ITS) supplementing the EU Crowdfunding Regulation: Commission Delegated Regulation (EU) 2022/2111 of 13 July 2022 supplementing the EU Crowdfunding Regulation with regard to RTS specifying conflicts of interest requirements for crowdfunding service providers. [read post]
17 Apr 2017, 11:11 am by Renae Lloyd
FINRA Rule 2111 codifies a brokerage firms and associated persons’ obligations with respect to churning/excessive trading. [read post]
Peter Douglas Monson of Blaine, Minnesota submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he allegedly exercised discretion and engaged in excessive and unsuitable trading in violation of NASD Conduct Rule 2510(b) and FINRA Rules 2111 and 2010. [read post]
9 Oct 2019, 6:43 am by Renae Lloyd
Before recommending an investment, financial advisors are required by FINRA Rule 2111 to ensure that the recommendation is suitable for that customer based on several important factors including tax status. [read post]