SIE - Securities Industry Essentials Exam
When making a recommendation to a customer, it must be suitable for the client's situation and needs. Which of the following must be taken into consideration?
The customers' securities held at other brokerage firmsA
The customer's understanding of the potential risks and rewardsB
The customer's age, tax status and risk toleranceC
All of the aboveD
All of the answers are factors that must be used to determine suitability.