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RideAnS [48]
3 years ago
9

To assist broker-dealers with compliance, NASAA prepared a fee disclosure template. Based on the template, all of the following

broker-dealer charges would be disclosed except A) brokerage commissions. B) fees for issuance of stock certificates. C) account transfer fees. D) account maintenance fees.
Business
1 answer:
tangare [24]3 years ago
6 0

Account transfer fees and account maintenance fees would not be disclosed as the broker-dealer charges.

<h3>NASAA means the North American Securities Administrators Association.</h3>

The NASAA prepared a fee disclosure template to assist broker-dealers with compliance.

Based on the template, the following broker-dealer charges which would be disclosed includes:

  • account inactivity fee
  • charges for late payments
  • issuance of a stock certificate
  • account transfer fees

In conclusion, all of the following broker-dealer charges would be disclosed except the account transfer fees and account maintenance fees.

Read more about Compliance

<em>brainly.com/question/10427400</em>

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