Series 7 - General Securities Representative Exam
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For public customers that have a dispute of $50,000 or less with a broker-dealer, which one of the following is NOT a way that they can present a case to an arbitrator, per FINRA's Customer Code Of Arbitration?
Via email where all parties agree to be bound via electronic signature
A
Without a hearing - an Arbitrator decides the case after reviewing each parties' written submissions
B
Via a special proceeding with a hearing via telephone
C
Via a regular hearing in person
D
Explanations
All are valid methods of arbitration except selection A
Pricing
Basic
Part of the questions for each course
-
- Course
- Questions
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- SIE
- 20 of 150
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- Series 6
- 30 of 500
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- Series 7
- 50 of 625