Sentence examples for suitability standards from inspiring English sources

BI different from existing suitability standards for broker-dealers in FINRA rules?

The military could, for instance, establish regional insurance panels that would take proposals from insurers based on price, claims-paying ability, suitability standards, complaint handling and solvency ratings.

As a result, to confirm satisfaction of the investor suitability standards of Regulation D, the acquirer must determine whether the sellers are accredited investors or meet the financial and business sophistication requirements.

Your Jan . 4editorial "Stockbrokers Fail the Duck Test," which criticizes the Securities and Exchange Commission's proposed rule addressing when a broker becomes an investment adviser, did not recognize that brokers are subject to suitability standards and sales practice requirements addressing conflicts of interest.

However, according to regulations, they are only held to suitability standards when it comes to recommending products to clients.

Duke Continuing Studies-Professional Cerequirese Programstudentsres students be a least 18 years of age and meet minimum suitability standards.

Currently, brokers working with customers on non-retirement accounts are governed by a much weaker "suitability" standard - the investment must be suitable for you, but not necessarily the best option.

They preferred sticking with the "suitability" standard which says advice must be suitable for clients after taking into account factors such as age and income.

As a fiduciary, they'll be held to a higher standard than what most retirement advisers adhere to today a lesser "suitability" standard that lets them recommend products that are suitable but not necessarily in their clients' best interest.

Advisors who are registered to provide services under a suitability standard are obligated to choose investments that are suitable for you - not investments that are necessarily the best option for anyone.

Instead, they operate under a "suitability" standard, which requires them only to recommend investments that they believe are suitable for a particular client at that moment in time.