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Investors who want to purchase securities using broker-dealer credit need to apply for a margin account. Reg T mandates that investors can borrow no more than 50% of the purchase price while the remaining balance must be paid in cash.

FINRA Rule 2111 establishes new suitability requirements that broker-dealers must satisfy when recommending transactions or investment strategies involving securities to clients.i The Institutional Suitability Certificate is a simple form that institutional clients can sign to make this indication.

Regulatory notices are briefer reports than narrative regulatory judgements.Regulatory notices (consumer standards) are published to set out our findings when any registered provider has breached a consumer standard and as a result we judge that there is actual or potential serious harm to tenants.

FINRA's rules and guidance strive to protect investors and ensure the integrity of today's rapidly evolving market. FINRA's rules and guidance strive to protect investors and ensure the integrity of today's rapidly evolving market. FINRA is here to help keep investors and their investments safe.

FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.

FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.

Regulatory notices are briefer reports than narrative regulatory judgements.Regulatory notices (consumer standards) are published to set out our findings when any registered provider has breached a consumer standard and as a result we judge that there is actual or potential serious harm to tenants.