Giao dịch, Tài khoản & Hành vi cấmCâu 281 / 398
Under FINRA rules, a registered representative may generally share in the profits or losses of a customer's account only if:
a.The customer is a family member, with no other conditions
b.The representative promises to cover all losses
c.The account is discretionary and the customer is wealthy
d.The firm gives prior written approval and sharing is proportionate to the representative's own financial contribution
Giải thích
Sharing in a customer account is permitted only with prior written approval from the firm and generally only in proportion to the representative's own capital contributed to the account. Guaranteeing against loss is never allowed.
Trích dẫn luật: FINRA Rule 2150Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- During account opening, a firm cannot verify a new customer's identity using the information provided and has no reasonable belief it knows the customer's true identity. Under CIP, what should the firm generally do?
- Broker-dealers are required to establish, maintain, and enforce written policies to prevent the misuse of material nonpublic information. These are commonly called:
- A representative, worried about losing a client, promises in writing to personally reimburse any losses in the client's account. This is:
- A representative asks a wealthy client for a personal loan to cover his own expenses. Under FINRA rules, this is:
- A customer asks to open an account identified only by a number to keep the account owner's identity secret from the firm. Is this permissible?
- Compared with a basic cash account, what added document must a customer sign to open and use a margin account?
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