New Blog Post: 11-23-2013: Series 63 Question of the Week - Which of the following is prohibited under the USA ? A. Actively trading a customers account B. Executing an order for the account of a customer for an unregistered non-exempt security at the customers request C. Receiving a commission for selling a private placement to the account of a non-accredited investor D. Automatically canceling a customers order at the end of the day because it was not execut... ow.ly/2BIeo9
Posted on: Sat, 23 Nov 2013 16:31:29 +0000
Recently Viewed Topics
© 2015