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) 2111-05b-customer-specific: Match each recommendation to the particular customer's investment profile

What does 2111-05b-customer-specific require?

The customer-specific component (Supplementary Material .05(b)) requires grounds for believing the recommendation fits this particular customer, judged against the investment profile elements in Rule 2111(a). The weight given to each factor depends on the facts; the record must show the profile that was used and why the recommendation fitted 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.