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20-08-2020
Business

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A registered representative has written discretionary authorization from a customer. Specific customer approval is needed for the registered representative to effect what transactions in the customer's account?

Respuesta :

22-08-2020

Answer:

Purchase a municipal bond where the broker-dealer has a control relationship with the issuer

Explanation:

Specific customer approval is needed when there is a control relationship between a brokerage firm and the issuer before a security can be purchased in discretionary accounts

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