Which of the following would be considered when determining whether excessive trading has occurred in a client's account?

Which of the following would be considered when determining whether excessive trading has occurred in a client's account?


A) The size of the companies issuing the securities.
B) The number of years the account has been opened.
C) The nature of the client's financial objectives.
D) The performance of the account in comparison to other client's accounts.


Answer: C) The nature of the client's financial objectives.


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