Which of the following is involved in a customer investment profile?<br/><br/>I. Liquidity needs<br/><br/>II. Risk tolerance<br/><br/>III. Customer's marital status<br/><br/>IV. Investment objectives
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✓ Correct answer: C. I, II & IVRule no 211. Suitability<br/><br/>Based on the data gathered through the member's or associated person's reasonable diligence to ascertain the customer's investment profile, the member or associated person must have a reasonable basis to believe that the recommended transaction or investment strategy involving a security or securities is suitable for the customer. <br/><br/>Age, other investments, financial situation and needs, tax status, investment goals, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information a customer may disclose to a member or associated person in connection with such recommendation are all included in a customer's investment profile.
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