Which of the following would NOT be considered a trigger for a mandatory suitability review under IDPC Rule 3402(2)?

Question

Accepted Answer

The receipt of a standard cash dividend is a routine corporate action and is not listed as a trigger under Rule 3402(2). It is not a deposit or transfer-in of assets, a change in security profile, or a change in client info.

Which of the following would NOT be considered a trigger for a mandatory suitability review under IDPC Rule 3402(2)?

Discussion