Financial professionals who recommend clients buy a security or financial product are held to ethical standards that can be enforced by law. One such standard is known as the suitability rule, which ...

The Municipal Securities Rulemaking Board last Monday asked for comments on proposed changes to its suitability rule that would parallel expansive revisions that the Financial Industry Regulatory ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Fears of increased paperwork and disclosures related to Finra's variable annuity suitability rule have been realized, with many firms reporting that they are still overburdened by hair-splitting ...

March 10, 2011 -- The insurance departments of California and New York issued annuity suitability regulations early this week. In California, the regulations are open for 45 calendar days of public ...

If you work with a stock broker (wealth manager, financial adviser, financial consultant), Monday will be an important day for you. That's the start date for a new set of rules that govern how your ...