By Thomas Potter ( June 20, 2018, 11:45 AM EDT) -- The Financial Industry Regulatory Authority, in an April 20, 2018, regulatory notice, proposed to remove the broker's "control" of a securities account as a required element of a "quantitative suitability" violation under Rule 2111.[1] That seems to be a change; but then, it never was originally required by those rules at all....
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