Regulations & Conduct第 119 / 125 题
Commingling a customer's funds or securities with the firm's own assets is:
a.Prohibited; customer assets must be properly segregated
b.Permitted with verbal consent
c.Required by FINRA
d.Allowed for margin accounts only
解析
Firms must keep customer funds and fully paid securities segregated from the firm's own assets to protect customers, particularly in the event of firm insolvency. Commingling customer property with firm property is a prohibited practice and violates customer protection rules.
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