FINRA’s Proposed Know Your Customer Rule – Best Practices for Compliance
Abstract:The U.S. Securities and Exchange Commission (SEC) has approved the consolidated Financial Industry Regulatory Authority Inc (FINRA) rules governing know-your-customer and suitability obligations. The effective date has been set to July 9, 2012. FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD).
This article describes the best practices to comply with FINRA's proposed Know-Your-Customer (KYC) rule.
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