{
  "node_id": "finra-2111-suitability",
  "title": "FINRA Rule 2111 (Suitability)",
  "domain": "Banking & Global Finance",
  "version": "1.0.0",
  "last_updated": "2026-07-18",
  "bluf": "FINRA Rule 2111 (Suitability) is a rule of the Financial Industry Regulatory Authority (FINRA), the self-regulatory organization for U.S. broker-dealers overseen by the U.S. Securities and Exchange Commission. A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer's investment profile. This node operationalises each obligation of FINRA Rule 2111 into a deterministic verification workflow, with every obligation quoted verbatim from and traceable to the rule text at https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111 (most recently amended by SR-FINRA-2020-007 effective June 30, 2020).",
  "paywall": {
    "status": "LOCKED",
    "unlock_cost_usd": "0.01",
    "skyfire_id": "41779894-ece2-4163-9761-b3b1b76e19b0"
  },
  "crosswalks": {
    "_available_keys": [
      "nist_framework",
      "iso_standard",
      "ai_overlay_2026",
      "industry_mapping"
    ],
    "_note": "Full crosswalk values included in vault response"
  },
  "dependencies": [
    "sec-regulation-best-interest",
    "finra-3110-supervision",
    "iso-37301-compliance-mgt"
  ],
  "primary_citations_count": 12
}