October Study Question of the Month

Once a year FINRA member firms must provide in writing (which may be electronic) to each customer all of the following items of information except: Continue reading

 

 

 

Once a year FINRA member firms must provide in writing (which may be electronic) to each customer all of the following items of information except:

  1. FINRA BrokerCheck phone number
  2. FINRA website address
  3. A statement as to the availability to the customer of an investor brochure that includes information describing FINRA BrokerCheck
  4. The SEC website address

 

 

 

 

 

 

 

 

 

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