Series 26: Exercise

Exercise

Match the Following Approval Requirements with Each Action

1. A. Firm must be notified but no approval needed
2. B. Firm must be notified and written approval must be received
3. 1. ___ An associated person wishes to borrow from a customer who he has a personal relationship with outside of the broker-customer relationship.
4. 2. ___ A fidelity broker wants to sell a New York Life variable annuity and receive a commissio