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

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

MoFoLogoFINRA gives member firms a thumbs up on suitability rule compliance

Morrison Foerster
November 25, 2013
3 pages

DavisPolkLogoFINRA Issues Notice To Members Discussing Examination Findings Regarding the Revised Suitability Requirements

Davis Polk
October 8, 2013
2 pages

BinghamLogoNew Suitability Guidance Provides Insight Into FINRA’s Areas of Focus and Preferences

Bingham
October 8, 2013
4 pages

ChapmanCutlerLogoBroker-Dealer Suitability—FINRA Summarizes Exam Approach and Highlights Effective Practices

Chapman and Cutler
October 3, 2013
3 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