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Rule 2330 Form: What You Should Know

Of the Final Release of Notice No. 036: Revised Advisor Suitability Standards (FINRA); Final Rules on Disclosure and  Fees & Fees (Regulation A) Rule 2330: Members' Responsibilities Regarding Application. The final rule includes many updates to the guidance on recommendation suitability that was adopted in 2016. To ensure that the final rule fully reflects the new guidance, and to ensure that these new guidance reflect the same level of coverage, I have made these proposed changes.  The Commission has the power and authority to adopt, amend or revoke such final rules pursuant to section 2(a)(22) of the Securities Act of 1933, 15 U.S.C. 78a(a)(22). In addition, the Commission has amended Rule 2330 to provide that this final rule does not become effective until December 22, 2018. Thereafter, the Commission will begin accepting public comments, except where provided in Sec. 3.33 or Section 2330.17e. If you have any questions regarding the new rules, please contact the Division of Investment Management or call the Commission toll-free at 1‑866‑275‑8922 (from 7 a.m. to 8 p.m.

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