subject
Business, 28.12.2021 02:30 Sanchezj104

A new customer walks into the branch and wants to open an account where she wishes to trade options. She has investment experience and meets the firm's qualifications for option trading. The RR opens the account, having her sign some new account and options account documentation. The RR informs her that options-related information and the Options Disclosure Document (ODD) will be mailed to her the following business day. Which of the following is TRUE of this scenario? [A] A supervisor has up to 15 days following the opening of the account to review the client's information and finalize approvals on the account related to options.
[B] The RR would be in violation of industry rules on delivering the Options Disclosure Document (ODD), as delivery is required at or prior to the approval of the account.
[C] The RR would be in violation of industry rules on opening an account, as same-day approval is not possible for new accounts or options trading.
[D] As long as options-related information and the ODD are sent prior to the confirmation of the new customer's first trade, the RR has acted appropriately.

ansver
Answers: 2

Other questions on the subject: Business

image
Business, 22.06.2019 11:30, avhobby3
Which of the following is not an example of one of the four mail advantages of prices on a free market economy
Answers: 1
image
Business, 22.06.2019 18:30, spazzinchicago
Health insurance protects you if you experience any of the following except: a: if you have to be hospitalized b: if you damage someone's property c: if you need to visit a clinic d: if you can't work because of illness
Answers: 2
image
Business, 22.06.2019 21:10, stephany94
You are the manager of a large crude-oil refinery. as part of the refining process, a certain heat exchanger (operated at high temperatures and with abrasive material flowing through it) must be replaced every year. the replacement and downtime cost in the first year is $165 comma 000. this cost is expected to increase due to inflation at a rate of 7% per year for six years (i. e. until the eoy 7), at which time this particular heat exchanger will no longer be needed. if the company's cost of capital is 15% per year, how much could you afford to spend for a higher quality heat exchanger so that these annual replacement and downtime costs could be eliminated?
Answers: 1
image
Business, 23.06.2019 13:30, DakotaOliver
What is baruch shemtov's product, and how did he begin creating it? (site 1)
Answers: 3
You know the right answer?
A new customer walks into the branch and wants to open an account where she wishes to trade options....

Questions in other subjects:

Konu
Mathematics, 26.10.2021 21:40
Konu
Spanish, 26.10.2021 21:40
Konu
Mathematics, 26.10.2021 21:40