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4 of 1 0 A customer will be traveling for the next two months. Rather than sending the mail to the customer, the broker -
of
A customer will be traveling for the next two months. Rather than sending the mail to the customer,
the brokerdealer may hold the mail:
A
With no additional steps
B
If an unregistered person of the firm reviews the mail while the customer is traveling
If written instructions are received from the customer
If it receives approval from FINRA
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Finance Applications and Theory
Authors: Marcia Cornett, Troy Adair
3rd edition
1259252221, 007786168X, 9781259252228, 978-0077861681
