Business PracticesCâu 69 / 100
A broker-dealer decides to raise its account maintenance and transfer fees substantially. Under NASAA rules, the firm:
a.Must give customers notice of the change and may not charge unreasonable or undisclosed fees
b.May implement the change without notice because fees are a business decision
c.Must obtain each customer's written consent to every fee
d.May charge any amount as long as it appears on the confirmation
Giải thích
Charging unreasonable and inequitable fees for services, or failing to disclose a change in the firm's fee schedule, is an unethical business practice. Customers must receive notice so they can decide whether to keep the account. Written consent for every fee is not required, and simply printing an excessive charge on a confirmation does not make it reasonable.
Trích dẫn luật: NASAA Model RuleLuyện miễn phí toàn bộ 100 câu hỏi — không cần đăng ký.
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