Exercise
Match the Following Approval Requirements with Each Action
A. No notification is required
B. Firm must be notified
C. Firm must be notified and written approval must be received before participation is allowed
D. Not allowed under any circumstance
1. _____ An associated person wishes to borrow from a customer with whom he has a personal relationship with outside of the broker/customer relationship.
2. _____ A Fidelity broker wants to sell a New York Life variable annuity and receive a c