Investment Suitability 101_2

Securities Fraud Lawyers for Suitability Claims Making suitable recommendations is one of the key parts of a brokers fiduciary duty to a client and

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Investment Suitability 101_1

All advisers and brokerage firms have a fundamental responsibility to deal fairly with investors. All sales efforts are judged based upon the ethical standards

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FINRA Suitability Rule and New Broker Investment Strategy

by Jay Salamon on July 11, 2012 It has always been our position that a stockbroker owes his or her customer both a suitability

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FINRA Issues Guidance on Suitability Rule for EB5 Securities Transactions

Baker Donelson, Bearman, Caldwell & Berkowitz, P.C. FINRA has clarified that its Suitability Rule applies to broker dealers assessment of EB-5 transactions, but that

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FINRA Clarifies ‘Customer’ and ‘Investment Strategy’ Terms Under Suitability Rule

Guidance updates Regulatory Notice 12-25 More On Legal & Compliance from The Advisor’s Professional Library Meeting and Exceeding Clients and Regulators’ Expectations Although it

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FINRA s Suitability Rule Is No Match For California s Rule California Corporate Securities

FINRAs New Rule Beginning on July 9, 2012, broker-dealers will be subject to FINRAs new suitability rule.  Rule 2111(a) requires FINRA members and their

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Customer suitability in the retail sale of financial products and services

Abstract 1. This report considers how supervisors and regulated firms across the banking, securities and insurance sectors deal with the risks posed by mis-selling

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Clouduitability Suitability assessment of applications in cloud Thoughts on Cloud

November 30, 2012 11:08 am by Shamim Hossain I might have just introduced yet another term related to cloud computing – clouduitability. Clouduitability is

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Advice from FINRA on new suitability rule

Analysis & Opinion n>(Reuters) — After nearly two years of waiting for a new suitability rule to take effect, brokers will finally be put

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Tips For Investors In Volatile Markets

During volatile times, many investors get spooked and begin to question their investment strategies. This is especially true for novice investors, who can often

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