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) 2111-02-no-disclaimer: Never disclaim suitability responsibilities in account documents or marketing

What does 2111-02-no-disclaimer require?

Supplementary Material .02 is short and absolute: no member and no associated person may disclaim responsibility under the suitability rule. Customer agreements, hold-harmless language, self-directed account labels and marketing disclaimers must be reviewed so that none purports to shift or waive the obligation where a recommendation has in fact been made.

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.