Transcription of Regulatory Notice 11-02 - finra.org
{{id}} {{{paragraph}}}
Example: tourism industry
Regulatory Notice 11-02 - finra.org
1 Regulatory Notice 11-02 January 2011 Notice Type00 Consolidated finra Rulebook00 Rule ApprovalSuggested Routing00 Compliance00 Legal00 Senior ManagementKey Topics00 Know Your Customer00 SuitabilityReferenced rules & Notices00 finra Rule 209000 finra Rule 211100 Information Notice 3/12/0800 NASD IM-2210-6 00 NASD IM-2310-200 NASD Rule 231000 NASD Rule 311000 NTM 01-2300 NYSE Rule 40500 SEA Rule 17a-3 Know Your Customer and Suitability SEC Approves Consolidated finra rules Governing Know-Your-Customer and Suitability ObligationsEffective Date: October 7, 2011 Executive SummaryThe SEC approved finra s proposal to adopt rules governing know-your-customer and suitability obligations1 for the consolidated finra new rules are based in part on and replace provisions in the NASD and NYSE rules . The text of the new rules is set forth in Attachment A. The rules take effect on October 7, regarding this Notice should be directed to James S.
Regulatory Notice 5 January 2011 11-02 with the more common definition of “institutional account” in NASD Rule 3110(c)(4).23 Beyond the definitional requirements, the exemption’s main …
Tags:
Information
Domain:
Source:
Link to this page:
Please notify us if you found a problem with this document: