Question: A customer wishes to purchase a security that does not fit their investment objectives. After making them aware of that fact, they decide that they

A customer wishes to purchase a security that does not fit their investment objectives.

After making them aware of that fact, they decide that they want to go ahead with the purchase anyway. What should you do?

(A) Refuse the order.

(B) Change the customer’s investment objectives.

(C) Talk it over with a principal prior to taking the order.

(D) Take the order and mark the order ticket “unsolicited.”

Step by Step Solution

There are 3 Steps involved in it

1 Expert Approved Answer
Step: 1 Unlock blur-text-image
Question Has Been Solved by an Expert!

Get step-by-step solutions from verified subject matter experts

Step: 2 Unlock
Step: 3 Unlock

Students Have Also Explored These Related Fraud Examination Questions!