SIE Overview of the Regulatory Framework Practice Question 10

Correct Answer: A

Explanation:

A: Choice A is correct because receiving a written complaint regarding a trade of municipal securities necessitates the provision of a copy of the investor brochure to the customer. Choice B is incorrect because the annual requirement is that the customer must be provided with a statement in writing that the investor brochure is available on the MSRB website. Choices C and D are incorrect because the requirement is to state that the firm is registered with the MSRB and the SEC.