Anticipated Holding Period
Before a broker recommends a potential investment to an individual, he or she should evaluate and disclose the selling firm’s anticipated holding periods on underlying assets. The anticipated holding period on assets can affect how investments are graded and therefore recommended to customers. For example, the anticipated holding period on underlying assets can affect mutual funds’ share classes.
FINRA – the Financial Industry Regulatory Agency – enforces rules governing broker-dealers, including that they must have “reasonable grounds” for believing that a recommended transaction/investment is suitable for a customer based on his or her financial situation, needs and investment objectives.
Investment dictionary. Academic. 2012.
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