Giao dịch, Tài khoản & Hành vi cấmCâu 293 / 398
When gathering information to make suitable recommendations for a new customer, which of the following is LEAST relevant to the customer's investment profile?
a.Risk tolerance and time horizon
b.Financial situation and needs
c.Investment objectives and experience
d.The customer's favorite sports team
Giải thích
Suitability requires understanding the customer's investment profile: age, financial situation, tax status, objectives, experience, time horizon, liquidity needs, and risk tolerance. Personal trivia unrelated to finances, like a favorite sports team, is not part of the profile.
Trích dẫn luật: FINRA Rule 2111Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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