Business Practices第 66 / 100 题
Before recommending a security to a new customer, an agent must:
a.Guarantee that the recommendation will meet the customer's return objective
b.Make reasonable inquiry into the customer's financial situation, investment objectives, tax status, and needs, and have a reasonable basis for believing the recommendation is suitable
c.Obtain the Administrator's prior approval of the recommendation
d.Confirm only that the customer has enough cash to pay for the trade
解析
Recommending securities without reasonable grounds to believe they suit the customer, based on information the agent has actually gathered about the customer's situation and objectives, is an unethical practice. A customer who refuses to provide information limits what the agent may reasonably recommend. Administrators do not pre-approve recommendations, and settlement ability alone says nothing about suitability.
法律依据: NASAA Model Rule免费刷完整 100 道题库 — 无需注册。
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