Question: Client Focused Reforms specify the circumstances under which an advisor must review suitability. What are these circumstances? The options are: A . When a trade
Client Focused Reforms specify the circumstances under which an advisor must review suitability. What are these circumstances?
The options are:
A When a trade is accepted.
B When an investment recommendation is made.
C When securities are transferred into a client account.
D When there is a material change to the knowyourclient information.
E All of the above.
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