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

Correct Answer: D. The SEC website address

Once a calendar year, member firms must provide the following to every customer, in writing: The FINRA BrokerCheck phone number, a statement describing the availability of an investor brochure that describes FINRA BrokerCheck, and the FINRA website address.  BrokerCheck is a tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and individual brokers.

 

 

 

 

 

 

 

 

 

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