Suitability

This webpage consolidates selective information and resources regarding FINRA's suitability requirements.


General Suitability Rule

Product-Specific Suitability Rules

Guidance

  • Selective Regulatory Notices

Regulatory Notice 13-45
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers

 

Regulatory Notice 13-31
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule

 

Regulatory Notice 12-55 
Suitability


Regulatory Notice 12-25
Suitability


Regulatory Notice 12-03
Complex Products


Regulatory Notice 11-25
Know Your Customer and Suitability


Regulatory Notice 11-02
Know Your Customer and Suitability


Regulatory Notice 10-22
Regulation D Offerings


Regulatory Notice 07-43
Senior Investors


Notice to Members 05-50
Equity-Indexed Annuities


Notice to Members 05-26
New Products


Notice to Members 04-89
Liquefied Home Equity


Notice to Members 04-30
Sales Practice Obligations in Sale of Bonds and Bond Funds


Notice to Members 03-07
Obligations When Selling Hedge Funds


Notice to Members 01-23
Online Suitability


For Your Information (March 1997)
Clarification of Notice to Members 96-60


Notice to Members 96-32
Members Reminded to Use Best Practices When Dealing in Speculative Securities

Tools and Resources

Contacts
 

Questions regarding the suitability rule may be directed to:

  • James S. Wrona, Vice President and Associate General Counsel, Office of General Counsel (OGC), at (202) 728-8270; or
  • Matthew E. Vitek, Assistant General Counsel, OGC, at (202) 728-8156.