FINRA Won’t Nix Suitability Rule in Light of Reg BI

October 25, 2019

FINRA plans to submit to its board shortly a rule proposal on sales contests and FINRA’s suitability rule “to conform them to Reg BI,” (Regulation Best Interest) its legal chief says.

By Melanie Waddell | October 21, 2019, at 11:48 AM | Source: ThinkAdvisor.com
  • Instead of eliminating the suitability rule, FINRA plans to submit a proposal that will allow the suitability rule to “conform them to Reg BI,” according to FINRA’s chief legal officer, Bob Colby.
Click Here to read the full article

Real Financial Advice. Real Money Management. 100% of the Time.

Working with investors who have $500,000 of investment assets and greater.
BRIAN REZNY LIVE ON TV AND RADIO:
AS SEEN ON:
Office and Other Meeting Locations
© 2019 - Site by RSM Marketing