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FINRA RULE – Fair Dealing with Customers

Dashboard > D’oh! How to Evaluate Customers Without Being A Total Homer > FINRA RULE – Fair Dealing with Customers

FINRA RULE – Fair Dealing with Customers

“Okay, let’s keep going,” Homer stated. “Now that you’ve learned all this great stuff about how to help Martha plan her financial future, you have to use it in a manner that’s fair to her. This is all covered under FINRA Rule –Fair Dealing with Customers and you will definitely see it on the exam. It’s a bunch of dry legalese that only lawyers should be forced to read, but this bit sums it up nicely:”

Implicit in all member and registered representative relationships with cus...

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