What is the total assets for FINRA rule 4512?

(3) any other person (whether a natural person, corporation, partnership, trust or otherwise) with total assets of at least $50 million.

What defines FINRA Rule 4512?

FINRA Rule 4512 (Customer Account Information) requires members to make reasonable efforts to obtain the name of and contact information for a trusted contact person ( trusted contact ) for a customer's account.

What is FINRA Rule 11 02?

A member's or associated person's reasonable diligence must provide the member or associated person with an understanding of the potential risks and rewards associated with the recommended security or strategy. The lack of such an understanding when recommending a security or strategy violates the suitability rule.

What is the FINRA rule 1122?

No member or person associated with a member shall file with FINRA information with respect to membership or registration which is incomplete or inaccurate so as to be misleading, or which could in any way tend to mislead, or fail to correct such filing after notice thereof.

What is the FINRA rule 2111 customer-specific obligation?

FINRA Rule 2111 requires that a firm or associated person have a reasonable basis to believe a recommended transaction or investment strategy involving a security or securities is suitable for the customer.

What is a FINRA suitability rule order?

The suitability rule generally requires broker-dealers to use reasonable diligence to seek to obtain and analyze the customer-specific factors listed in the rule. A broker-dealer cannot make assumptions about customer-specific factors for which the customer declines to provide information.

What is FINRA Rule 211 known as?

The suitability rule generally requires broker-dealers to use reasonable diligence to seek to obtain and analyze the customer-specific factors listed in the rule. A broker-dealer cannot make assumptions about customer-specific factors for which the customer declines to provide information.

What is the FINRA rule 4512 institutional account?

FINRA Rule 4512 (Customer Account Information) requires members to make reasonable efforts to obtain the name of and contact information for a trusted contact person for a customer's account. March 01, 2022. 2022 Report on FINRAs Examination and Risk Monitoring Program. Trusted Contact Persons.

Get Guidance Note 11/02

Q: What is FINRA Rule 11 02?

A member&#039;s or associated person&#039;s reasonable diligence must provide the member or associated person with an understanding of the potential risks and rewards associated with the recommended security or strategy. The lack of such an understanding when recommending a security or strategy violates the suitability rule.

Guidance note 11/02Verification of identity: The use and disclosure of personal information by reporting entities and credit reporting agencies for the purposes of verifying an individuals identity.

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