Series 6 - Investment Company And Variable Contracts Products Representative Exam
No member or person associated with a member shall submit for payment a check, draft or other form of negotiable paper drawn on a customer's account without the customer's express written authorization, which may include the customer's signature on the instrument, such as a check. If written authorization is separate from the negotiable instrument, how long must the member preserve the authorization following the termination of the document?
If written authorization is separate from the negotiable instrument, the member must preserve the authorization for a period of three years from the termination of the document.
Part of the questions for each course
- 20 of 150
- Series 6
- 30 of 500
- Series 7
- 50 of 625