Whenever a broker, dealer or one of its associated natural persons recommends a securities transaction, an investment strategy involving securities, or the type of account to open, to a retail customer, the recommendation must be made in that customer's best interest as judged at the moment it is given. The firm's or the individual's own financial or other interests may not be put ahead of the customer's. The obligation attaches to the recommendation itself, so it covers rollovers, account conversions and strategy advice as much as individual trades, and it is discharged only when the four component obligations in paragraph (a)(2) are each met.
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