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 2See FINRA Regulatory Notice 14-52; Pricing Disclosure in the Fixed Income Markets (November 2014) available at. The following frequently asked questions (FAQs) provide guidance on FINRA Rule 2111 (Suitability). This document consolidates the questions and answers. In a recent new release, the Tennessee Securities Division urged investors to ask tough questions of their investment advisors, and about their compensation, account. ARCHIVED POST Exam Alert: FINRA to raise limit for simplified arbitration. The SEC has approved amendments to FINRA's arbitration rules. It also exempts broker-dealers from informing an SMMP that the price of a. We keep track of our students through BrokerCheck and keep in. Following the consolidation of NASD and the member regulation, enforcement and arbitration functions of NYSE Regulation into FINRA, FINRA. SEC Approves FINRA & MSRB (Almost) Pay-to-Play Rules. January 20, 2015 Submitted electronically Marcia E. Smith Office of the Corporate Secretary Corporate Secretary Financial Industry Regulatory. 10-41 FINRA Reminds Firms of Their Sales Practice and. 10-34 SEC Approves Changes to Expand the Information Released Through BrokerCheck and. Finragite finra 5130 finaref finra brokercheck finra finnraccoon fun radio fin ramadan. Industry Suitability Certificate with SMMP, Pursuant to FINRA Rule 2111.