Regulations第 56 / 110 题
Which of the following would most likely be viewed as a prohibited practice by a registered representative?
a.Depositing a customer's check into the representative's own bank account overnight before forwarding it
b.Recommending a Class A purchase at a breakpoint the customer qualifies for
c.Sending a customer a copy of the fund's current prospectus
d.Documenting a customer's risk tolerance before a recommendation
解析
Commingling customer funds with a representative's personal funds, even briefly, is a serious violation and can constitute conversion. Recommending a breakpoint-qualified purchase, delivering a prospectus, and documenting risk tolerance are all required or encouraged practices. Customer checks must be forwarded promptly to the firm.
法律依据: FINRA Rules免费刷完整 110 道题库 — 无需注册。
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