FINRA Rule 2111
Recently, the Financial Regulatory Authority (FINRA) enhanced the requirements surrounding investment suitability. According to FINRA’s Rule 2111, as financial representatives we must ascertain our clients’ investment profile which “includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information” relevant to your financial situation.
As such, we are obligated to update our files to adhere to the industry-wide requirements, and we request that you complete the following questionnaire to the best of your knowledge and ability. Your responses are for internal use only and will not be shared with any entity outside of Marino, Stram & Associates and Securities America, Inc. as our broker-dealer.
Thank you in advance for your assistance!
Please download the form here:
FINRA Rule 2111 (pdf)
FINRA Rule 2111 (docx)
Once complete, upload the form at our Secure File Upload: