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: Securities Law Prof Blog

SEC Republishes FINRA Rule Proposal on Suitability, Know Your Customer

By Securites Lawprof

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On August 13, 2010, the SEC sent to the Federal Register for publication Release No. 34-62718 - a Notice that the Financial Industry Regulatory Authority, Inc. (?FINRA?) had proposed rule changes to adopt FINRA Rules 2090 (Know Your Customer) and...

Full post as published by Securities Law Prof Blog on August 23, 2010 (boomark / email).

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