Rule 405

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Rule 405

NYSE codification of "know your customer" rules, which require that a customer's situation is suitable for any investment being made.

Rule 405

The "know your customer" rule of the New York Stock Exchange that requires member firms to obtain significant facts from customers when opening new accounts. These facts are supposed to give the broker and the firm some background on the customers.

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Know-Your-Customer Rule
Suitability Rule

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