a registered representative persuades a customer to purchase a security by assuring her that, should it fall in value, the representative will make up the difference in the account. this practice is: qid: 3569558 mark for review a permitted if the arrangement is in writing and preapproved by the firm b permitted if the customer maintains an outside business relationship with the representative c permitted if the customer is an immediate family member d not permitted

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17-12-2022
Business

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a registered representative persuades a customer to purchase a security by assuring her that, should it fall in value, the representative will make up the difference in the account. this practice is: qid: 3569558 mark for review a permitted if the arrangement is in writing and preapproved by the firm b permitted if the customer maintains an outside business relationship with the representative c permitted if the customer is an immediate family member d not permitted

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Bhuvangarg Bhuvangarg · Answer 1 · 2022-12-23T08:37:47+01:00

B) Allowed on the off chance that the client keeps an external business relationship with the delegate

When is it necessary for a broker-dealer to ensure that a customer is suitable for a recommended security?

Reasonable-basis suitability consists primarily of two elements: A broker must do two things: (1) do reasonable diligence to learn about the potential benefits and drawbacks of a suggested security or strategy, and (2) use that knowledge to determine whether the recommendation is suitable for at least some investors.

What is the role of the registered representative?

An employee who is engaged in the solicitation or handling of accounts, orders for the purchase or sale of securities, or other similar instruments for the accounts of customers of his employer, or in the solicitation or handling of business in connection with investment advisory services is referred to as a "registered representative."

To learn more about registered representative here:

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