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Expert Analysis

FINRA's Expanded Obligations For Broker-Dealers

Law360 ( February 18, 2011, 1:02 PM EST) -- On Oct. 7, 2011, two new Financial Industry Regulatory Authority rules will become effective: Rule 2090 (Know Your Customer) and Rule 2111 (Suitability). The rules amend and replace New York Stock Exchange Rule 405 and National Association of Securities Dealers Rule 2310....

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