Accounts & Customers第 68 / 125 题
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
解析
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.
法律依据: Securities Exchange Act of 1934免费刷完整 125 道题库 — 无需注册。
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