Wednesday, October 10, 2012

What does FINRA say about suitability?

For a deeper understanding of your new suitability requirements (after passing your exam, of course, and getting registered) please check out what FINRA has to say about the topic at

For example, aren't we all kind of curious to know the answer to this question?

Would a firm violate the suitability rule if it makes recommendations to customers
for whom it has not obtained all of the customer-specific information listed in FINRA
Rule 2111?

Studying for Series 7?

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