3951. Supervision of suitability determination obligations

Or jump to a Series:

    1. A Dealer Member must supervise each Registered Representative, Investment Representative, Portfolio Manager and Associate Portfolio Manager to confirm their compliance with their responsibilities relating to the suitability determination to institutional clients under section 3403.

    3952. –3954.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.