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If one of your clients wants to order municipal securities that you believe to be unsuitable for her investment objectives, what should you do ?
If one of your clients wants to order municipal securities that you believe to be unsuitable for her investment objectives, what should you do
You may execute the order as long as you mark the order ticket as unsolicited
You must obtain the permission of the firms compliance officer before executing the order.
You may only execute the order with the prior permission of a principal of the firm.
You must refuse the order unless the client changes her investment objectives.
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