Series 26: Know Your Customer And Suitability Rules

Taken from our Series 26 Online Guide

Know Your Customer and Suitability Rules

Recall that FINRA requires its broker-dealers to ascertain the essential facts about a customer before opening an account. This includes conducting a suitability analysis based on the customer’s personal and investment profile. The broker-dealer must exert reasonable efforts to obtain this information. The broker-dealer’s registered employees must wait until a principal at the firm has approved the suitability analysis before offerin

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