Updated Wednesday, April 16, 2014 as of 9:38 PM ET
Practice - Regulatory/Compliance
FSI Wary of Investment Strategy, Hold Provisions in FINRA Suitability Rule
by: Kenneth Corbin
Monday, July 9, 2012

As financial professionals grapple with a new regulatory mandate for the suitability of investment advice, a leading industry advocacy group is continuing its opposition to two key provisions of the new rules from the Financial Industry Regulatory Authority (FINRA) that took effect Monday.

Get access to this article and thousands more...

All Financial Planning articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

Advisors on the Move: Cambridge Snags $500 Million Team

Current Issue

The April Issue is now online!

Already a subscriber? Log in here