Before the Bell Breakfast Forum: The Changing Rules - Suitability, Know-Your-Customer and Social Media
Discussions will include two new consolidated FINRA rules governing Know-Your-Customer (Rule 2090) and Suitability (Rule 2111) obligations of broker-dealers recently approved by the SEC as well as how the FINRA rules governing communications with the public apply to social media sites that are sponsored by a firm or its registered representatives.
7:15 AM - 8:30 AM
The Townsend Hotel
There is no cost to attend; space is limited to registered representatives, investment advisors and trust officers; advance reservations required.
Sandy Bera 248.267.3345