In what may be FINRA’s first interpretative letter involving the EB-5 program, on August 26th, 2013, FINRA replied to a member firm’s (broker-dealer) request for guidance on Rule 2111 – Suitability Standards. The full letter can be found at the following link: http://discuss.ilw.com/content.php?2405-News-FINRA-Rule-2111-Suitability According to Rule 2111, broker-dealers and their representatives must abide by specific obligations […]