John Moses and Michael Brady Provide Thomson Reuters' News & Insight With an Overview of Changes to the 2011 FINRA Know-Your-Customer and Suitability Rules
Bass, Berry & Sims PLC's John T. Moses and Michael A. Brady offer a comprehensive overview of the recent changes made to FINRA’s know-your-customer and suitability rules in a Thomson Reuters News & Insight securities blog post, published on August 10, 2011. Mr. Moses and Mr. Brady highlight key elements of Regulatory Notice 11-25, the document in which FINRA provides additional guidance to firms regarding the rule changes based upon industry questions and concerns. Click here to read more.
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