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“Let’s talk FINRA,” Homer suggested.
He sat across from Shmooge and began talking.
“So, there are two rules you should be familiar with when dealing with clients. The first is FINRA Rule 2090, Recommendations to Customers, and the second is FINRA Rule 2111—Suitability. You’ll see questions on the exam for both, so it’s worth your time to know this stuff.”
“I think I already kind of know what Rule 2090 is,” Shmooge commented. “Doesn’t that have something to do with fiduciary respo...
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