PRIVATE PLACEMENT FILING REQUIREMENT FOR BROKER-DEALERS – NEW FINRA RULE 5123.
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Eight Things You Need to Know about FINRA's New Suitability Rule – 2111.
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Tagged as Broker-dealer (BD) and registered representative (RR) Supervision, ETFs, FINANCIAL INDUSTRY NATIONAL REGULATORY AUTHORITY (FINRA), FINRA Rule 2111, Know Your Customer, recommendations, Rule 2090, Suitability