Accounts & CustomersCâu 68 / 125
Under Regulation Best Interest (Reg BI), when a broker-dealer makes a recommendation to a retail customer, it must:
a.Guarantee a profit on the recommendation
b.Act in the retail customer's best interest and not place its own interests ahead of the customer's
c.Recommend only proprietary products
d.Avoid disclosing any conflicts of interest
Giải thích
Regulation Best Interest, adopted under the Securities Exchange Act of 1934, requires broker-dealers to act in the retail customer's best interest at the time a recommendation is made and not to put the firm's financial interests ahead of the customer's. It includes disclosure, care, conflict-of-interest, and compliance obligations.
Trích dẫn luật: Securities Exchange Act of 1934Luyện miễn phí toàn bộ 125 câu hỏi — không cần đăng ký.
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