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1、RegulatoryNotice09-25Suitabilityand“KnowYourMay2009Customer”NoticeTypeProposedConsolidatedFINRARulesGoverningRequestforCommentSuitabilityandKnow-Your-CustomerObligationsConsolidatedFINRARulebookSuggestedRoutingCommentPeriodExpires:June29,2009LegalComplianceExecutive
2、SummarySeniorManagementAspartoftheprocesstodevelopanewconsolidatedrulebook(theConsolidatedFINRARulebook),1FINRAisrequestingcommentonproposedKeyTopic(s)consolidatedFINRArulesgoverningsuitabilityandknow-your-customerSuitability(KYC)obligations.“KnowYourCustomer”Thetext
3、oftheproposedrulesissetforthinAttachmentA.ReferencedRules&NoticesQuestionsregardingthisNoticeshouldbedirectedtoJamesS.Wrona,FINRARule2010AssociateVicePresidentandAssociateGeneralCounsel,OfficeofGeneralCounsel,at(202)728-8270.NASDRule2310NASDIM-2310-3NASDRule3110Acti
4、onRequestedNYSERule405FINRAencouragesallinterestedpartiestocommentontheproposedrules.CommentsmustbereceivedbyJune29,2009.Memberfirmsandotherinterestedpartiescansubmittheircommentsusingthefollowingmethods:Emailingcommentstopubcom@finra.org;orMailingcommentsinhardcopyt
5、o:MarciaE.AsquithOfficeoftheCorporateSecretaryFINRA1735KStreet,NWWashington,DC20006-1506109-25May2009TohelpFINRAprocessandreviewcommentsmoreefficiently,personsshoulduseonlyonemethodtocommentontheproposal.ImportantNotes:TheonlycommentsthatFINRAwillconsiderarethosesubmitt
6、edpursuanttothemethodsdescribedabove.AllcommentsreceivedinresponsetothisNoticewillbemadeavailabletothepublicontheFINRAWebsite.Generally,FINRAwillpostcommentsonitssiteoneweekaftertheendofthecommentperiod.2Beforebecomingeffective,aproposedrulechangemustbeauthorizedforfili
7、ngwiththeSECbytheFINRABoardofGovernorsandthenmustbeapprovedbytheSEC,followingpublicationforpubliccommentintheFederalRegister.3DiscussionNASDRule2310,addressingsuitabilityobligations,andIncorporatedNYSERule405,4addressingknow-your-customerobligations,arecriticaltoprotect
8、inginvestors.Asaresult,FINRAproposestoincludemodifiedformsofbothrulesintheConsolidatedFINRARulebook.Eachisdisc
