Series 99: Know Your Customer Rule

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term Know Your Customer Rule...

a rule that calls for broker-dealers to collect essential personal and financial details on customers in order to make suitable recommendations.

Since you're reading about Series 99: Know Your Customer Rule, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 99
Please Enable Javascript
to view this content!