A registered representative, about to retire, is transferring his "book" to a younger representative at his firm. The representative that is assigned these accounts must:
A. Complete transfer of account forms for each customer, listing all securities positions
B. Update the customer account records
C. Treat each account has a new account, including a new account form that must be approved in writing by the principal
D. Forward all commissions received from these accounts during the next year to the retired representative
Answers: 2
Another question on Business
Business, 21.06.2019 15:20
The systems analysis phase includes three activities β requirements modeling, data and process modeling, and consideration of development strategies. choose two of these activities, explain their differences, and discuss how they are used to accomplish the main objective which is to understand the proposed project.
Answers: 1
Business, 22.06.2019 15:00
Which of the following characteristics are emphasized in the accounting for state and local government entities? i. revenues should be matched with expenditures to measure success or failure of the government entity. ii. there is an emphasis on expendability of resources to accomplish objectives. a. i only b. ii only c. i and ii d. neither i nor ii
Answers: 2
Business, 22.06.2019 16:40
Differentiate between the trait, behavioral, and results-based performance appraisal systems, providing an example where each would be most applicable.
Answers: 1
Business, 22.06.2019 19:40
Chang corp. has $375,000 of assets, and it uses only common equity capital (zero debt). its sales for the last year were $595,000, and its net income was $25,000. stockholders recently voted in a new management team that has promised to lower costs and get the return on equity up to 15.0%. what profit margin would the firm need in order to achieve the 15% roe, holding everything else constant? a. 9.45%b. 9.93%c. 10.42%d. 10.94%e. 11.49%
Answers: 2
You know the right answer?
A registered representative, about to retire, is transferring his "book" to a younger representative...
Questions
Mathematics, 11.02.2021 22:30
Mathematics, 11.02.2021 22:30
Mathematics, 11.02.2021 22:30
Chemistry, 11.02.2021 22:30
Social Studies, 11.02.2021 22:30
Mathematics, 11.02.2021 22:30
Mathematics, 11.02.2021 22:30
Health, 11.02.2021 22:30
