Accounts & Customers第 69 / 125 题
When determining whether a recommendation is suitable, a registered representative must consider the customer's:
a.Favorite industries only
b.Zip code and gender
c.Investment objectives, financial situation, risk tolerance, and time horizon
d.The firm's inventory needs
解析
Suitability and the care obligation under Reg BI require the representative to understand the customer's investment profile, including objectives, financial situation and needs, risk tolerance, time horizon, liquidity needs, and experience. Recommendations must fit that profile rather than the firm's interests.
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