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UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, 20549OMB APPROVALOMBNumber: 32350123 Expires: March 31, 2016, mated average burden. C.15046295ANNUAL AUDITED REPO FORM X17A5FACING PAGE 't
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Form suitability obligations refers to the requirement for individuals or entities to ensure that the financial products they recommend or sell to customers are suitable for their needs and financial situation.
Financial advisors, brokers, and other professionals involved in recommending or selling financial products are required to file form suitability obligations.
Form suitability obligations are typically filled out by providing detailed information about the customer's financial situation, investment objectives, risk tolerance, and other relevant factors.
The purpose of form suitability obligations is to ensure that customers are not sold financial products that are unsuitable for their needs or financial situation.
Information such as the customer's financial goals, risk tolerance, investment experience, and any other relevant factors must be reported on form suitability obligations.
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