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A Broker-Dealer or Investment Advisor is legally and ethically obligated to provide:

  • Fair dealings with customers in accordance with high standards of commercial honor, just and equitable principles of trade, and good business practice

  • Full-disclosure - duty to disclose all material facts about the product or service being sold to the client and not misrepresent material facts

  • Understanding of customer suitability - duty to recommend only products, strategies and services that are in the client’s best interests. Products, strategies and services that match or are consistent with a client’s financial situation, objective needs and investment objectives

  • Due diligence –duty to thoroughly research the product or service to understand whether the product or service will perform in the manner that it is represented to the customer.