Broker-Dealer Suitability Obligations | Practical Law

Broker-Dealer Suitability Obligations | Practical Law

This Note discusses the suitability obligations of broker-dealers under FINRA Rule 2111 when recommending investments in securities or investment strategies to customers.

Broker-Dealer Suitability Obligations

Practical Law Practice Note 3-615-7045 (Approx. 13 pages)

Broker-Dealer Suitability Obligations

by Practical Law Corporate & Securities
Maintained • USA (National/Federal)
This Note discusses the suitability obligations of broker-dealers under FINRA Rule 2111 when recommending investments in securities or investment strategies to customers.