Service charges by a FINRA dealer for transfer and safekeeping of customer securities held in street name:
A) may not be levied under FINRA Conduct Rules
B) may not be levied unless there is no trading in the account for more than six months
C) may be levied only if the security has a value of less than $5,000
D) may be levied only if the charge if fair, reasonable, and non-discriminatory
Correct Answer:
Verified
Q222: A registered representative just accepted Bubba's instructions
Q223: Bubba opens an account at a broker/dealer
Q224: According to FINRA Conduct Rules, a party
Q225: To accommodate a customer's order to buy
Q226: An investor purchasing a corporate bond regular
Q228: Bubba Corporation issued bonds that pay interest
Q229: Most publicly owned securities are:
A)listed
B)over-the-counter
C)unregistered
D)exempt from SEC
Q230: A registered representative privately assures a customer
Q231: The FINRA markup policy requires that over-the-counter
Q232: The return by the receiving party of
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