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You are here: SEC & Securities Law FINRA & the Exchanges FINRA's New Suitability (2111) & KYC (2090) Rules

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FINRA's New Suitability (2111) & KYC (2090) Rules

sutherlandlogoFINRA Reverses Course and Issues Guidance Changing Its Interpretation Regarding the Key Issues of "Potential Investors" and Non-Security Recommendations

Sutherland
December 19, 2012
2 pages

ChapmanCutlerLogoFINRA Issues Additional Guidance on Suitability Rule

Chapman and Cutler
December 18, 2012
2 pages

DavisPolkLogoGuidance on FINRA’s Suitability Rule

Davis Polk
December 11, 2012
2 pages

WilsonElserLogoSpeaker Beware: FINRA’s New Suitability Rule Redefines Recommendations

Wilson Elser
From Aon Advisor Solutions
November 27, 2012
2 pages

cozenOConnorLogoFINRA's New Suitability Rule 2111: Documenting Compliance and Mitigating Litigation Risk

Cozen O'Connor
From The Legal Intelligencer
July 24, 2012
4 pages

greenbergtrauriglogoFINRA's New Know Your Customer and Suitability Rules

Greenberg Traurig
July 12, 2012
5 pages

ChapmanCutlerLogoFINRA Issues Additional Guidance on New Suitability Rule

Chapman and Cutler
June 6, 2012
5 pages

BinghamLogoFINRA Issues Additional Guidance on its Soon to be Implemented New Suitability Rule

Bingham
May 31, 2012
5 pages

ChapmanCutlerLogoDoing Business Under FINRA’s New Suitability and KYC Rules

Chapman and Cutler
April 10, 2012
10 pages

FINRA Delays Implementation of New Suitability Rules Until July 2012

Sutherland
April 11, 2011