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09-04-19

Article: With Regulation BI, Are FINRA Rules 2010 and 2111 Dead?

Bates is proud to share the publication of “With Regulation BI, Are FINRA Rules 2010 and 2111 Dead?” by Managing Director and Expert Consultant Hank Sanchez, Esq. The article was published in the July 2019 issue of NSCP Currents. In it, Hank examines two FINRA rules that are commonly cited in FINRA enforcement matters—FINRA Rules 2010 (Standards of Commercial Honor and Principles of Trade) and 2111 (Suitability)—and discusses whether those rules may become subsumed or nullified by Reg BI.

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Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

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