Government securities sales practices.

CFR · 2024-01-01 · US · Title 12

(a) (b) (1) (2) (3) (4) (i) A bank, savings association, insurance company, or registered investment company; (ii) An investment adviser registered under section 203 of the Investment Advisers Act of 1940 (15 U.S.C. 80b-3); or (iii) Any entity (whether a natural person, corporation, partnership, trust, or otherwise) with total assets of at least $50 million. (c) (d) (e) (1) The customer's financial status; (2) The customer's tax status; (3) The customer's investment objectives; and (4) Such other information used or considered to be reasonable by the bank in making recommendations to the customer.

official document · source cfr-2024 · id 12:§ 208.37