Series 7 Exam Prep 8, Know Your Customer and Customer Investment Profile
This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - How FINRA's Know Your Customer (KYC) rule provides the foundation for all investment recommendations. - The key elements of a customer's investment profile, including financial and non-financial considerations. - How Regulation Best Interest (Reg BI) elevates…
The skinny
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