Guidance on FINRA’s Suitability Rule
Client Newsflash

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FINRA has recently released Regulatory Notice 12-55, which provides additional suitability guidance related to FINRA Rule 2111 that partially supersedes the guidance given in Regulatory Notice 12-25. In particular, the Notice addresses the scope of the terms “customer” and “investment strategy.” FINRA has also created a suitability webpage, which consolidates selective information and resources regarding FINRA’s suitability requirements.