Identify the special dispute-resolution mechanism that is available only to dealer members registered with the Authorite des marches financiers (AMF)?

a) Arbitration program

b) Civil litigation

c) Non-binding dispute resolution

d) Voluntary mediation

Under what category of complaint would an error in client records fall?

a) Administrative

b) IA Misconduct

c) Margin Issues

d) Trading disputes

In what category of client complaints does OBSI receive the most complaints?

a) Fees

b) Fraud

c) Suitability

d) Theft

To what type of account does the cash-account rule not apply?

a) Registered

b) Non-Registered

c) Partnership

d) Discretionary