Series 7: Exercise

Taken from our Series 7 Online Guide


Answer true or false.

1. _____ Networking arrangements allow brokers to work with a bank to provide brokerage services to the bank’s customers.

2. _____ When entering a networking arrangement with a bank, a member firm must identify itself as completely separate from the bank and inform the customer that the services the firm provides are not provided by the bank.

3. _____ Member firms must provide their customers with sources to educate themselves about their investments upon request only.

4. _____ Member firms are not required to forward material such as annual reports or information statements to beneficial owners.

5. _____ Theft, forger

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