Answer:
B. This prospect can be called by the registered representative.
Explanation:
A registered representative may be defined as a person working for a client facing financial firm like the brokerage firm and he acts as the representative for the clients who are trading the investment products as well as securities.
In the context, the prospect can be called by the registered representative. But there are three exceptions that are provided for the cold calls to any individual who are on the national Do not call list :
--- Established business relationship exception.
--- Prior express written consent exception
--- Personal relationship with the associated person exception.
Therefore, option (B) is correct.
Answer:
Franc, originally a French coin but now the monetary unit of a number of countries, notably Switzerland, most French and former Belgian overseas territories, and some African states; at one time it was also the currency of France, Belgium, and Luxembourg.
Answer:
B. came slowly to support moderate regulatory reform; showed aggressive leadership
Explanation:
The essential rights of consumers in relationship with businesses includes
1. The right to be informed
2. The right to safety
3. The right to choose
4. The right to be heard
5. The right to privacy
Ways of protecting consumer rights
1. Consumerism
2. Government regulation
3. Law/courts
4. Industry self-regulation
Consumer protection laws
This law protects as it shows the goals of government policymakers and regulators in the context of the rrights of consumers. It ensured that consumers are treated fairly, receive adequate information etc.
Theodore Roosevelt' "Square Deal" put together the three Cs which are control of the corporations, consumer protection, and the conservation of the United States' natural resources.
The Sarbanes-Oxley Act of 2002 requires the CEO (Chief
Executive Officer) and the CFO (Chief Financial Officer) to personally certify
the accuracy of the financial statement that the company has filed with the
Securities and Exchange Commission as
members of senior management.