SIE Exam Question 386: Answer and Explanation

Question: 386

That most basic tenet of a suitability determination is the:

  • A. follow the customer's instructions
  • B. only recommend that which is suitable for yourself
  • C. written supervisory procedures of your firm
  • D. know your customer rule

Correct Answer: D

Explanation:

D: Knowing your customer is the single most important step in the suitability of recommendations.

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