SIE Overview of the Regulatory Framework Practice Question 14

Correct Answer: C

Explanation:

C: Choice C is correct because the rule requires written authorization to lend a customer's securities. Choices A, B, and D are incorrect because FINRA Rule 4330 – Customer Protection – Permissible Use of Customers' Securities is focused on obtaining written permission to lend the customer's securities, and does not address changing the format of the customer's account records, publishing the customer's assets, or providing the customer's information to government agencies.