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FINRA Moves to Amend the Suitability Standard in Lockstep with the SEC's Efforts
Drinker Biddle 
[Guidance Overview] May 15, 2018 "[The SEC 'Regulation Best Interest' (Reg BI)] is a paraphrase of [FINRA Rule 2111.05(c), Components of Suitability Obligation] ... The SEC standard condition (3) ... removes the present qualifier that this quantitative suitability is applicable only when a member or associated person 'has actual or de facto control over a customer account.' This is a significant alteration to the FINRA rule." |
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