Customer Accounts第 90 / 110 题
A representative learns that an individual account holder has died. The representative should:
a.Liquidate all positions immediately to protect the estate
b.Continue accepting instructions from the customer's spouse
c.Cancel all open orders, mark the account deceased, and await required documents such as a death certificate and letters testamentary
d.Transfer the assets to the named beneficiary the same day
解析
On notice of death the firm freezes the account, cancels open orders, and takes instructions only from the duly appointed representative of the estate after receiving proper documentation. Family members have no authority merely by relationship. Liquidating or transferring assets before documentation could expose the firm and the representative to liability.
法律依据: FINRA Rules免费刷完整 110 道题库 — 无需注册。
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