COMPLIANCE ADVISORY
FINRA Rule 2111 Suitability (United States) Readiness Advisory
Score your readiness for free, then turn the results into a plan in a 30-minute strategy call with Ivanka, co-founder of The Art of Service, which has trained 54,000+ professionals across 160+ countries.
Why work with Ivanka on FINRA Rule 2111 Suitability (United States)
FINRA's suitability rule for broker-dealer recommendations of securities transactions and investment strategies: the reasonable-basis belief resting on the customer's investment profile, the three components (reasonable-basis, customer-specific and quantitative suitability), the broad reading of investment strategy including hold recommendations, the institutional-account carve-out on independent…
Compliance work stalls when it is treated as a checklist. Ivanka treats FINRA Rule 2111 Suitability (United States) as a strategic decision: what matters most for your organisation, what to do first, and what your leadership team needs to understand. For 25 years she has built The Art of Service, whose compliance platform now covers 1,062 frameworks.
The free readiness assessment scores your organisation against the 11 controls across 4 domains of FINRA Rule 2111 Suitability (United States). The strategy call turns those scores into priorities.
Relevant credentials
- Co-founder of The Art of Service, which has trained 54,000+ professionals across 160+ countries
- MIT Entrepreneurial Masters Program graduate
- EXIN Expert Panel member
THE STRATEGY CALL
What you get in 30 minutes
Ivanka reviews your FINRA Rule 2111 Suitability (United States) readiness scores with you and agrees which gaps matter most. Specific to your results, not generic advice.
A clear, prioritised plan for addressing gaps across 4 domains: what you can build on from existing work and what needs new investment.
How FINRA Rule 2111 Suitability (United States) fits with the other obligations you already manage, so it strengthens your existing programme instead of running beside it.
Domains covered in FINRA Rule 2111 Suitability (United States)
This is for you if
- You need to achieve FINRA Rule 2111 Suitability (United States) compliance but don’t know where to start or how to prioritise
- You’ve been told you’re “compliant” but suspect gaps exist that haven’t been properly assessed
- You manage compliance for broker-dealers, dually registered broker-dealer and investment adviser firms, bank broker-dealer affiliates, institutional sales desks, retail brokerage compliance and supervision, insurance-affiliated broker-dealers selling variable products organisations and need expert guidance, not generic templates
- You want to leverage existing compliance efforts across multiple frameworks rather than starting from scratch
- You need a strategic plan your leadership team and board will actually understand and support
Start with a free assessment. Then let's talk strategy.
Take the free FINRA Rule 2111 Suitability (United States) readiness diagnostic. In 5 minutes you'll have a clear picture of where your gaps are. Then book the strategy call and Ivanka will help you decide how to close them.
Free · No login required · Results in 5 minutes
Or go directly to the $149 Report + Strategy Call