A guideline stated or implied by various securities regulatory bodies which requires that brokers determine the suitability of investments for customers before making recommendations. also called Know Your Customer or Suitability Rules.
Related information about Rule 405:
- Rule 405. Methods of Proving Character | Federal Rules of Evidence ...
(a) By Reputation or Opinion. When evidence of a person's character or character trait is admissible, it may be proved by testimony about the person's reputation ...
- Rule 405 - Financial Dictionary - The Free Dictionary
NYSE codification of "know your customer" rules, which require that a customer's situation is suitable for any investment being made.
- What is Rule 405? definition and meaning
Definition of Rule 405: A guideline stated or implied by various securities regulatory bodies which requires that brokers determine the suitability of investments ...
- Rules 405 - SC Judicial Department
RULE 405. LIMITED CERTIFICATE OF ADMISSION TO PRACTICE LAW IN SOUTH CAROLINA. (a) The Supreme Court may issue a limited certificate of ...
- Rule 405: Definition from Answers.com
New York Stock Exchange codification of an ethical concept recognized industry wide by those dealing with the investment public.
- Rule 405 -- Definitions of Terms
Rule 405 -- Definitions of Terms. Unless the context otherwise requires, all terms used in Rule 400 to Rule 494, inclusive, or in the forms for registration have the ...
- 234 Pa. Code Rule 405. Issuance of Citation.
Rule 405. Issuance of Citation. When a criminal proceeding in a summary case is instituted by issuing a citation to the defendant: (1) the law enforcement officer ...
- Rule 405.
Alabama Rules of Evidence. Article IV. Relevancy and Its Limits. Rule 405. Methods of proving character. (a) Reputation or opinion. In all cases in which ...