Series 10 Exam Question 53: Answer and Explanation
Question: 53
A customer of an MSRB member firm must be allowed to review which of the following upon request?
- A. Trading records
- B. Commission runs
- C. MSRB Rule Book
- D. Compliance manual
Correct Answer: C
Explanation:
All MSRB member firms must have a copy of the MSRB Rule Book, and it must be made available to customers upon request.
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