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Under FINRA rules, to recommend a direct participation program to a customer, the registered representative must ascertain that the customer:_______.

User Sjosey
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Answer:

has a fair market net worth sufficient to sustain the risks of the program.

Step-by-step explanation:

FINRA is an acronym for Financial Industry Regulatory Authority. It is a non-profit agency in the United States of America, which is saddled with the responsibility of handling the licensing and regulation of broker-dealers in securities.

A direct participation program (DPP) can be defined as a financial security which gives an investor (customer) access to the cash flow and tax benefits of a business venture.

Under FINRA rules, to recommend a direct participation program (DPP) to a customer, the registered representative must ascertain and ensure that the customer has a fair market net worth that is considered to be sufficient to sustain the risks associated with the program, including loss of investment and lack of liquidity.

User Meg Sharkey
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