Quantitative Suitability

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Quantitative Suitability

Definition

A suitability obligation set forth in Financial Industry Regulatory Authority Rule 2111 that requires a broker to have a reasonable basis for believing that a series of recommended transactions, even if suitable in isolation, is not excessive or unsuitable for the customer in light of the customer’s investment profile.

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— In the Matter of Department of Enforcement v. Alan Jay Davidofsky

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