FINRA Rule 2111 (Suitability)

What FINRA Rule 2111 (Suitability) requires

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).

Pillar: Banking & Global Finance · Authority: Financial Industry Regulatory Authority (FINRA) · Version: 1.0.0 · Last updated: 2026-07-18

Primary source: https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111

SHA-256 integrity: 83f7689d3c553575981924dd81a04b11e8bd70875ed20c58c3aeb9a74082cddc

Primary Citations — 12 traced to source

• FINRA Rule 2111(a): '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.'
• FINRA Rule 2111(a): 'A customer's investment profile includes, but is not limited to, the customer's age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the customer may disclose to the member or associated person in connection with such recommendation.'

+ 10 more citations (full bibliography, deterministic workflow, actionable schema and crosswalks) included in the vault unlock — $0.01 via Skyfire / L402 / Direct Base USDC.

Access

• Discovery (free): /api/v1/nodes/finra-2111-suitability.json — 6-field metadata
• Vault (full node): /api/v1/vault/nodes/finra-2111-suitability.json — full 13-key payload, $0.01 USDC (L402/Skyfire/Direct Base)
• Canonical URL: https://bidda.com/intelligence/finra-2111-suitability
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