Series 63 – Uniform Securities Agent State Law Exam Practice Test
Series 63 – Uniform Securities Agent State Law Exam Communications with Clients and Ethical Practices
Under the USA, what is required when an agent makes an investment recommendation to a client?
Select your answer
A
Only that the recommendation be registered
B
That the agent have a reasonable basis for believing the recommendation is suitable for that specific client given their financial situation and objectives
C
That the recommendation be in writing and signed by the client
D
That the recommendation be for a security with a minimum credit rating
Hint
