SIE Exam Practice Question 259

Question: 259

A customer complaint is formally defined as:

A. any communication from a customer or a legal representative of a customer regarding misconduct

B. any written communication from a customer or legal rep of a customer regarding an allegation of a violation of one or more securities rules or federal regulations

C. a written allegation of a violation submitted by a customer

D. none of the above

SIE Exam Practice Question 259

More Tests

Quick View

FINRA Practice Tests