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

General Suitability Rule

Product-Specific Suitability Rules


  • 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 

Regulatory Notice 12-25

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


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.