Customer Protection and Ethical Practices

In this section

• Regulation Best Interest (Reg BI)
  Review the Reg BI standard and the obligations it places on broker-dealers.
• Suitability and Know Your Customer (KYC)
  Understand suitability and KYC duties when making recommendations to customers.
• Fiduciary Duty and Best Execution
  Review fiduciary standards and the obligation to seek best execution for customer orders.
• Senior Investor Protections
  Study the rules and practices designed to protect senior investors from abuse and exploitation.