SIE Understanding Trading, Customer Accounts and Prohibited Activities Practice Question 35

Question: 35

Which of the following are covered by both of the following rules: FINRA 5310 – Best Execution and Interpositioning and MSRB G-18 – Best Execution?

A. Information about each trade will be submitted promptly to the Real-time Transaction Reporting System (RTRS)

B. Inv Co Act 1940 17a-6 – Exemption for Transactions with Portfolio Affiliates

C. Inv Co Act 1940 17a-7 – Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof

D. A broker-dealer will be conscientious in finding the best market and handling the trade to provide the best price practical to a customer.