Principals are allowed to:
A) visit a broker's dealing room to arrange or confirm deals
B) visit a broker's dealing room with the permission of the management of both parties
C) deal from within a broker's dealing room with the permission of the broker's management
D) place an order with a broker from within the same broker's office

Question

Quizplus · Accepted Answer

Principals are not allowed to directly deal from within a broker's dealing room or place orders with a broker from within the same broker's office. However, they may visit a broker's dealing room to arrange or confirm deals with the permission of the management of both parties.

Principals Are Allowed To