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Reagan has accepted a role to be the Chief Revenue Officer of a charitable organization. She is currently registered as a Dealing Representative for Surgeon's
Reagan has accepted a role to be the Chief Revenue Officer of a charitable organization. She is currently registered as a Dealing Representative for Surgeon's Trust Financial Services. Which of the following would apply to her? The dealer will closely monitor her sales activities to ensure any clients from the charity are not getting a discount on potential fees. Holding both positions at the same time is a violation of securities industry rules and regulations. Reagan is not required to inform her dealer of this outside activity if none of her colleagues from the charity become clients. The regulator will limit her from providing financial services to anyone associated with the charity
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