Posts tagged with: "2111"
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2 Jan 2015, 6:51 am
. - FINRA Rule 2111 requires that social media communications, if recommending a security, must be considered suitable for the targeted investors; and - Record keeping of all social media communications is required under FINRA Rule 4510. [read post]
20 Aug 2014, 5:08 am
Ct. 2111 (2014). [read post]
18 Oct 2017, 10:07 am
" If you ask five regulatory lawyers, you'll get ten different opinions at $750 an hour (cash only and we'd like two forms of photo ID).Thus, the stage is set for today's BrokeAndBroker.com Blog consideration of FINRA's "Suitability Rule":FINRA Rule 2111: Su... [read post]
7 Apr 2023, 12:10 pm
Ct. 2111 (2022). [read post]
26 Mar 2015, 3:00 am
Krupp v UNIFOR, Local 229, 2015 CanLII 2111 (ON LRB) [read post]
30 Jun 2023, 10:55 am
Ct. 2111 (2022), section 922(g)(1) is unconstitutional as applied to Jessie Bullock, a man with felony convictions for “aggravated assault and manslaughter. [read post]
4 May 2017, 12:00 am
The paper presented, “Trends in Supervisory and Clearing Firm Liability” addressed a number of newly emerging issues facing FINRA member brokerage firms, including introducing and clearing firms, in the context of the newly enacted FINRA supervisory Rules 3110 and 3120, as well as the new Know Your Customer and Suitability Rules 2090 and 2111. [read post]
13 Jun 2012, 12:15 pm
Rule 2111 has significant implications for broker-dealers who maintain retail brokerage accounts. [read post]
13 Oct 2020, 4:00 am
" §2111 states that a school district officer "may resign to a district meeting. [read post]
13 May 2019, 10:44 am
§ 2111, under the elements clause. [read post]
13 Oct 2020, 4:00 am
" §2111 states that a school district officer "may resign to a district meeting. [read post]
10 Dec 2008, 9:25 pm
Rhodes, No. 08-2111 (10th Cir. [read post]
22 May 2019, 9:04 am
Suitability for Retail Customers FINRA rule 2111 ensures that firms and people associated with firms deal with customers fairly. [read post]
30 Aug 2008, 4:55 pm
It was five years ago that Gil Grantmore put individual gun rights in the crosshairs. [read post]
2 Aug 2007, 8:10 am
Inside Higher Ed reports on a study by the Collaborative on Academic Careers in Higher Education (COACHE) based at the Harvard University Graduate School of Education. [read post]
26 Aug 2020, 4:00 am
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]
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]
8 May 2011, 2:56 pm
Japan Times reports that Prime Minister Kan has stated an opinion on the question I raised earlier here. [read post]
21 Jan 2011, 3:49 pm
The recent shootings in Tucson, Arizona rocked the nation and the world. [read post]
4 Feb 2009, 8:45 am
Heat exposure deaths happen occasionally in all levels of football. [read post]
