Laws & RegulationsPregunta 19 de 100
A client sends an unsolicited written complaint to an agent alleging unauthorized trading. The agent should:
a.Promptly forward the complaint to a designated supervisor or compliance for handling and recordkeeping
b.Destroy the letter to avoid escalation
c.Personally settle with the client using firm funds without notice
d.Ignore it unless the client repeats the complaint in writing three times
Explicación
Written customer complaints must be promptly forwarded to the firm's designated supervisor or compliance for review and recordkeeping. Agents may not conceal, destroy, or unilaterally settle complaints. Proper handling protects both the client and the firm's compliance obligations.
Referencia Legal: Uniform Securities ActPractica las 100 preguntas gratis — sin registro.
Preguntas relacionadas de este tema
- An agent 'churns' a client's account. This unethical practice is best defined as:
- Under the Uniform Securities Act, the term 'security' would NOT typically include:
- An agent shares in the profits and losses of a customer's account. Under NASAA standards, this is permitted only if:
- Under the Investment Advisers Act, a performance-based fee that charges a share of capital gains is generally permitted only when the client is:
- The Administrator may issue a cease and desist order:
- An IAR recommends a securities transaction that will generate a large commission for the IAR's affiliated broker-dealer. To act ethically, the IAR must at minimum:
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