1answer.
Ask question
Login Signup
Ask question
All categories
  • English
  • Mathematics
  • Social Studies
  • Business
  • History
  • Health
  • Geography
  • Biology
  • Physics
  • Chemistry
  • Computers and Technology
  • Arts
  • World Languages
  • Spanish
  • French
  • German
  • Advanced Placement (AP)
  • SAT
  • Medicine
  • Law
  • Engineering
joja [24]
3 years ago
14

If a registered representative of a FINRA member firm wants to open an account with another member firm, which of the following

statements are TRUE?
I.The account may only be opened if the registered representative (RR) is also a principal of his employing BD.
II.The account may be opened, but the registered representative may not engage in securities transactions that he could do through his own firm.
III.The member firm opening the account must send duplicate confirmations to the employing member firm if the employing member firm has requested them to do so.
IV.The employing broker/dealer must receive prior written notice in order for the account to be opened but need not grant prior approval.

A) I and II
B) I and III
C) III and IV
D) II and IV
Business
1 answer:
Orlov [11]3 years ago
8 0

Answer:

The answer is: C) III and IV

Explanation:

The Financial Industry Regulatory Authority (FINRA) regulates member brokerage firms and exchange markets. FINRA is regulated and overseen by the SEC. They issue licences to individuals and admits companies into the financial trading industry.

If a former employee of a FINRA firm wants to work for another FINRA firm, he must notify his former employee and his new employer must send duplicate confirmations only if requested by the former employer.

You might be interested in
Local adaptation is typically preferred by managers who are charged with making the international business successful in their c
atroni [7]

<u>Answer: </u>True

<u>Explanation:</u>

To maintain the competitive advantage of the business the managers of international business adapt to local adaptation strategy. International markets have different languages and culture it is necessary to promote business in the local language to reach the target market accordingly.

The multinational companies have their offices, distribution and production in different countries but they maintain same set of policies and procedures which makes decision making quick and easier. Through this way they maintain the global consistency.

4 0
3 years ago
Can someone help me with this business worksheet
Sholpan [36]

Answer:

uhm heyyyy I can help

8 0
3 years ago
ou own a portfolio that has $2,700 invested in Stock A and $3,800 invested in Stock B. Assume the expected returns on these stoc
Butoxors [25]

Answer:

the  expected return on the portfolio is 15.50%

Explanation:

The computation of the expected return on the portfolio is shown below:

Total investment is

= $2,700 + $3,800

= $6,500

Now  

Expected return of portfolio is

= ($2,700 ÷ $6,500) × 12 + ($3,800 ÷ $6,500) × 18

= 4.98% + 10.52%

= 15.50%

Hence, the  expected return on the portfolio is 15.50%

5 0
3 years ago
Scott tried to file a police report after being victimized by an identity thief. However, the police department was reluctant to
saul85 [17]

Answer:

Explanation:

if the question is select multiple answers then both A and C. if it is just one answer then A.

7 0
4 years ago
Read 2 more answers
The statement, "You are more likely to control risks when they are identified earlier rather than later" is associated with what
yawa3891 [41]

Answer:

Risk Control

Explanation:

The statement, "You are more likely to control risks when they are identified earlier rather than later" is associated with the Risk Control Management principle.

Risk control is more effective when risk identification is undertaken early enough so that control measures are put in place to mitigate such risks, otherwise there will be a shift from 'risk control' to 'damage control' once any of those risks materializes.

7 0
3 years ago
Other questions:
  • At the beginning of the current year, Bard Corporation had 400,000 shares of $1 par common stock outstanding and had retained ea
    9·1 answer
  • The types of job-specific knowledge you need to perform well in a specialized field, known as _______ skills, appear to be most
    5·1 answer
  • Osion Electronics Inc. incurs a cost of $350 to produce one unit of a cell phone. The company's management has priced the produc
    12·1 answer
  • For purposes of decision making, avoidable costs are costs that:
    5·1 answer
  • On December 31, Fighting Okra Cooking Services reports the following revenues and expenses. Service revenue $ 84,000 Postage exp
    5·1 answer
  • A Deductible is what
    6·1 answer
  • Viable strategic options companies should consider in tailoring their strategy to fit circumstances of emerging country markets
    5·1 answer
  • What is the main purpose of monetary policies?
    7·2 answers
  • A small business sold an equipment for $30,000 after depreciating the equipment using the MACRS depreciation method. The applica
    7·1 answer
  • A customer has a long margin account with no sma. if the market value of the securities rises, sma will increase by:________
    15·1 answer
Add answer
Login
Not registered? Fast signup
Signup
Login Signup
Ask question!