Exit FINRA-SERIES-63 FINRA Uniform Securities Agent State Law
Question 1 of 5
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Q1 Single choice

When a customer files a complaint with a broker-dealer,

I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.

  • A

    I, II and III

  • B

    I and II only

  • C

    I and III only

  • D

    II and III only

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