RegulationsCâu 54 / 110
A registered representative may share in the profits and losses of a customer's account only if:
a.The customer requests it verbally and the representative keeps notes
b.The firm and the customer give prior written approval and sharing is proportionate to the representative's financial contribution
c.The representative contributes at least 50% of the account's capital
d.The account is a joint account with an immediate family member of the customer
Giải thích
Profit sharing is permitted only with written consent from both the member firm and the customer, and the representative's share must match the money actually contributed. Verbal permission is never sufficient. There is no 50% contribution rule, and a family relationship between customer and representative does not by itself authorize sharing.
Trích dẫn luật: FINRA RulesLuyện miễn phí toàn bộ 110 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- Urging a customer to buy fund shares immediately so the customer can "capture" an upcoming distribution is prohibited because:
- A representative learns that an institutional customer is about to place a very large buy order and immediately buys the same security for a personal account. This is:
- A customer is nervous about market volatility and the representative offers to personally reimburse any losses in the first year. This offer is:
- A representative tells a prospect, "Buy this fund before Friday's record date so you get the $0.40 per share distribution for free." This statement is:
- Which of the following would most likely be viewed as a prohibited practice by a registered representative?
- Under FINRA's communications rules, a written message distributed to more than 25 retail investors within any 30 calendar-day period is classified as:
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