Question
Which of the following is true concerning a registered agent opening an account with a broker-dealer firm that is different from the firm that employs
Which of the following is true concerning a registered agent opening an account with a broker-dealer firm that is different from the firm that employs him?
A. Such an arrangement can only happen if the agent becomes employed by both firms B. It is never permitted C. Written notification must be given to the employer firm by the agent but does not need to be provided by the firm with which the agent is trading D. Copies of confirmations, statements, and any other information related to the outside account must always be provided to the employer firm
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