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Glossary > S > "Shingle Theory" Definition

Shingle Theory

A suitability doctrine first introduced by the SEC in the 30"s. The idea is that a broker who hangs out a shingle will represent his/her customers fairly and responsibly when making suggestions regarding securities.

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Shingle Theory - A suitability doctrine first introduced by the SEC in the 30"s. The idea is that a broker who hangs out a shingle will represent his/her customers fairly and responsibly when making suggestions regarding securities.

Shingle Theory : a suitability doctrine first introduced by the sec in the 30"s. the idea is that a broker who hangs out a shingle will represent his/her customers fairly and responsibly when making suggestions regarding securities.