Finra Rule 2111 Form
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People also ask
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What is the FINRA rule 2211?
Communications with the Public About Variable Life Insurance and Variable Annuities. The Rule Notices. The standards governing communications with the public are set forth in Rule 2210 .
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Is FINRA Rule 2111 still in effect?
To provide clarity on which standard applies and to avoid unnecessary duplication, FINRA has amended Rule 2111 to state that it will not apply to recommendations subject to Reg BI. FINRA has also removed the element of control from the quantitative suitability obligation, a change that is consistent with Reg BI.
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What are the three main suitability obligations of FINRA rule 2111?
Rule 2111 is composed of three main obligations: reasonable-basis suitability, customer-specific suitability, and quantitative suitability.
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Which FINRA rule still oversees internal communications?
Rule 2210 governs three categories of “communications” by FINRA member firms: institutional communications, retail communications and correspondence. The Rule sets forth requirements relating to approval, review and recordkeeping of communications; filing requirements and review procedures; and content standards.
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What is the new issue rule for FINRA?
FINRA Rule 5130(i)(9), which is referenced in the definitions of FINRA Rule 5131, defines "new issue" to mean "any initial public offering of an equity security as defined in Section 3(a)(11) of the Exchange Act, made pursuant to a registration statement or offering circular," with enumerated exceptions, and does not ...
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Who does FINRA rule 2111 apply to?
The suitability rule applies to a broker-dealer's or registered representative's recommendation of a security or investment strategy involving a security to a "customer." FINRA's definition of a customer in FINRA Rule 0160 excludes a "broker or dealer."9 In general, for purposes of the suitability rule, the term ...
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Which of the following is not a suitable obligation in regard to FINRA rule 2111?
(C) Limiting your client base is NOT a suitability obligation in regard to FINRA Rule 2111. FINRA Rule 2111, also known as the Suitability Rule, requires that firms or their associated persons have a reasonable basis to believe a recommended transaction or investment strategy is suitable for the customer.
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Why did FINRA amend rule 2111?
To provide clarity on which standard applies and to avoid unnecessary duplication, FINRA has amended Rule 2111 to state that it will not apply to recommendations subject to Reg BI. FINRA has also removed the element of control from the quantitative suitability obligation, a change that is consistent with Reg BI.
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