Presentation: 2012 NSCP National Meeting, October 23, 2012, Washington Hilton
FINRA Suitability Rules NSCP National 2012
Rules that became effective on July 9, 2012.
2090 Know Your Customer (former NYSE R. 405):
(former NYSE R. 405):
Reasonable diligence, Essential facts, and Authority to act
2111 Suitability (former NASD R. 2310):
(former NASD R. 2310):
Reasonable basis, Recommended transaction or investment strategy, Suitable, Investment Profile, and Institutional Accounts.
No representation is made that the quality of services to be performed is greater
than the quality of legal services performed by other lawyers.