Business, 25.10.2019 22:43 tyrasimpson4787

Mr. charles dixon is a registered representative in the dallas office of zeno securities corp. mr. dixon wants to sell limited partnership interests in the southfork land development co. mr. dixon will only receive nominal compensation for selling the interests. which of the following statements is true under finra rules?
(a)-mr. dixon can sell the limited partnership interests without restriction.
(b)-mr. dixon can sell the limited partnership interests only with prior written permission of finra. if zeno securities corp. approves
(c)-mr. dixon to sell the limited partnership interests the transaction must be supervised and recorded on zeno securities corp's books and records.
(d)-zeno securities corp. must only be made aware of the transaction by mr. dixon and have no other supervisory responsibility.

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Mr. charles dixon is a registered representative in the dallas office of zeno securities corp. mr. d...

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