2341. Investment Company Securities
(a) Application
This Rule shall apply exclusively to the activities of members in connection with the securities of companies registered under the Investment Company Act; provided however, that Rule 2320 shall apply, in lieu of this Rule, to members' activities in connection with "variable contracts" as defined therein.
(b) Definitions
(1) The terms "affiliated member,"
2320. Variable Contracts of an Insurance Company
(a) Application
This Rule shall apply exclusively (and in lieu of Rule 2341) to the activities of members in connection with variable contracts, to the extent such activities are subject to regulation under the federal securities laws.
(b) Definitions
(1) The term "purchase payment" as used throughout this Rule shall mean the consideration p
2111. Suitability
(a) A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer's investment profile.
2018057522002 Christopher R. Wurtzinger CRD 1921024 AWC va (2020-1595117964414).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057522002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher R. Wurtzinger, Respondent General Securities Principal CRD No. 1921024 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Christopher R. Wurtzinger ("Respondent" or "Wurtzinger") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
