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Suitability rules |
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Suitability rules Policies and guidelines that brokers must use to ensure that investors have the financial means to assume risks that they wish to undertake. These are enforced by the NASD and other self-regulatory organizations. Suitability rules. Self-regulatory organizations (SROs), such as NASD, securities exchanges, and individual brokerage firms require that stockbrokers ensure that the investments they buy for you are suitable for you. This means, for example, that the investments are appropriate for your age, financial situation, investment objectives, and tolerance for risk. Brokerage firms require investors opening accounts to provide enough information about their financial picture to enable the broker to know what investments would be suitable. How to thank TFD for its existence? Tell a friend about us, add a link to this page, add the site to iGoogle, or visit webmaster's page for free fun content. |
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