Presentation: 2012 NSCP National Meeting, October 23, 2012, Washington Hilton
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.
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