Bass, Berry & Sims PLC’s Michael A. Brady offers 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. Brady highlights 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.
Thomson Reuters
Bass, Berry & Sims PLC’s Michael A. Brady offers 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. Brady highlights 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.