If a customer refuses to provide sufficient information to determine suitability, only unsolicited trades may occur and no recommendations may be made.

Training Mode

Unit 1 Unit 2 Unit 3 Unit 4

If a customer refuses to provide sufficient information to determine suitability:

General recommendations may be made and only unsolicited trades may be processed

Only unsolicited trades may be processed

Only unsolicited trades may be processed and no recommendations may be made

The customer's account will be closed only