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Important Changes to FINRA

By September 24, 2012

By Bruce A. Katzen On July 9, the Financial Industry Regulatory Authority (FINRA) announced that two new rules have gone into effect – Rule 2090 – the so-called “Know Your Customer” rule and Rule 2111, the “suitability” rule.  Rule 2090 heightens the requirement for financial advisors to know the “essential facts” …