12 C.F.R. § 368.5 Customer information.
Title 12 - Banks and Banking
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.
Title 12: Banks and Banking
PART 368—GOVERNMENT SECURITIES SALES PRACTICES
§ 368.5 Customer information.
