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Investment Risks and Suitability

Understanding risk is critical when making investment recommendations:

·         Market Risk :The risk of declining investments due to economic downturns.

·         Interest Rate Risk :The risk that bond prices will decline when interest rates rise.

·         Inflation Risk :The erosion series 6 dump sheet of purchasing power over time.

·         Liquidity Risk :The risk of not being able to quickly convert assets to cash.

 FINRA Rules and Ethical Practices

·         Know Your Customer(KYC) Rule : Requires representatives to obtain essential client information.

·         SuitabilityStandard : Ensures that investment recommendations match a client'sobjectives and risk tolerance.

·         Anti-MoneyLaundering (AML) Regulations : Firms must implement procedures to detect and report suspicious activities.

·         Code of Conduct and Ethical Practices : Adherence to ethical guidelines to maintainindustry integrity.

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Investment Risks and Suitability

Understanding risk is critical when making investment recommendations:

·         Market Risk:The risk of investments declining due to economic downturns.

·         Interest Rate Risk:The risk that bond prices will decline when interest rates rise.

·         Inflation Risk:The erosion of purchasing power over time.

·         Liquidity Risk:The risk of not being able to quickly convert assets to cash.

 FINRA Rules and Ethical Practices

·         Know Your Customer(KYC) Rule: Requires representatives to obtain essential clientinformation.

·         SuitabilityStandard: Ensures that investment recommendations match a client’sobjectives and risk tolerance.

·         Anti-MoneyLaundering (AML) Regulations: Firms must implement procedures todetect and report suspicious activities.

·         Code of Conduct andEthical Practices: Adherence to ethical guidelines to maintainindustry integrity.

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