Series 24: 2.4. Managing Investor Risk

Taken from our Series 24 Online Guide

2.4. Managing Investor Risk

The relationship between brokers or dealers and their customers is built on trust: that the broker is familiar with the customer’s financial needs and capabilities and that the dealer is familiar with the nature and risks of the securities products being offered. FINRA’s suitability guidelines are designed to promote and secure that trust.

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