Series 53: Review By A Principal

Review by a Principal

A process for the review of customer complaints must be included in the written supervisory procedures. The written supervisory procedures must designate an appropriate principal to review customer complaints concerning municipal securities activities.

MSRB Rule G-27(c)(2)

Exercise: Fill in the blank.

1. 1. Dealers must set up a supervisory system to review incoming and outgoing ____________ related to municipal securities activities between its municipal securities representatives and the public.
2. 2. Suitability information includes a customer’s ____________, tax status, investment objectives, and any other information pertinent to making suita