FINRA Rule 2111 Suitability (United States)
Supplementary Material .01 to .06: principles, strategies, profile, three components, financial ability – FINRA Rule 2111 Suitability (United States)

FINRA Rule 2111 Suitability (United States) 2111-01-fair-dealing: Run sales efforts on the fair-dealing principle that underlies the suitability rule

What does 2111-01-fair-dealing require?

Supplementary Material .01 states the general principle: fair dealing with customers and others is implicit in every member relationship, so selling must stay inside the ethical standards FINRA's rules set, above all the obligation of fairness towards the investing public. Suitability is the concrete expression of that obligation; it exists to promote ethical selling and a high standard of professional conduct. Compensation, incentive and sales-contest design is the usual test of whether a firm honours it.

Maintained by Gerard Blokdyk

Other controls in Supplementary Material .01 to .06: principles, strategies, profile, three components, financial ability – FINRA Rule 2111 Suitability (United States)

Query this from an agent

The graph holds this control, the 0 it maps to, and the evidence behind each claim, over MCP and REST.