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2353. Suitability
The provisions of Rule 2360(b)(19) shall apply to recommendations by members and persons associated with members regarding the purchase or sale of index warrants, currency index warrants, or currency warrants. The term "option" as used therein shall be deemed to include such warrants for purposes of this Rule.
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Amended by SR-FINRA-2008-032 eff. Feb. 17, 2009. Adopted by SR-NASD-95-37 eff. Sept. 28, 1995. Selected Notices: 95-82, 08-57, 08-78. |
- Regulatory Notice 08-78December 15, 2008