Check whether investments fit your client's needs.
What it does
Assesses whether investment recommendations fit a customer's profile and meet broker-dealer suitability obligations.
When to use it
Use for questions about investment suitability, complex-product diligence, concentrated positions, hold recommendations, or institutional exemptions.
How to use it
Give it an investment suitability question or scenario; it returns an assessment using the relevant suitability obligations.
Uses
SE
FI
FI
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What you need · 1
Routes churning, turnover-ratio, and excessive-trading enforcement questions to this skill; installation requirements are unstated.
Access · 3
This skill
SEC
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Checks current SEC sources
FINRA
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Checks current FINRA sources
FinCEN
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Checks current FinCEN sources