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The new suitability and Know-Your-Customer rules will present FINRA with the opportunity to bring a variety of enforcement actions against both firms and registered representatives. The types of cases will likely be similar to enforcement actions that FINRA has brought under the existing rules.
July 11 -
FINRA Rule 2090 will impose a new requirement on many firms, that of knowing your customer. Firms that have not previously been subject to a Know-Your-Customer requirement are determining what facts it deems essential in connection with servicing an account.
July 10 -
The time has finally arrived. FINRAs new suitability and know-your-customer rules take effect today.
July 9
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