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e-CFR data is current as of November 25, 2020

Title 12Chapter IIISubchapter BPart 368 → §368.5


Title 12: Banks and Banking
PART 368—GOVERNMENT SECURITIES SALES PRACTICES


§368.5   Customer information.

Prior to the execution of a transaction recommended to a non-institutional customer, a bank that is a government securities broker or dealer shall make reasonable efforts to obtain information concerning:

(a) The customer's financial status;

(b) The customer's tax status;

(c) The customer's investment objectives; and

(d) Such other information used or considered to be reasonable by such bank in making recommendations to the customer.

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