Series 10 Exam Question 16: Answer and Explanation

Question: 16

A general securities firm carrying customer accounts must do which of the following?

I. Advise customers of FINRA's public disclosure program.

II. Give the investors the 800 number for the public disclosure program.

III. Provide customers with the address for the FINRA's website.

IV. Provide all of the items listed in writing twice per year.

• A. I and III
• B. II and IV
• C. I, II, and III
• D. I, II, III, and IV

Correct Answer: C

Explanation:

A member carrying customer accounts must do choices I, II, and III, but must only inform customers of the information once per year.