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The city of Los Angeles is issuing 20-year GO bonds at 8%. MSRB rules regarding this underwriting may be enforced by all of the following regulators except
The city of Los Angeles is issuing 20-year GO bonds at 8%. MSRB rules regarding this underwriting may be enforced by all of the following regulators except
- FINRA
- the SEC
- the MSRB (correct)
- the Comptroller of the Currency
Registered representative Thomas Jones has been found by a Department of Enforcement hearing to have violated the Code of Procedure. He believes that the hearing panel did not have all the facts and wants to appeal the ruling. His appeal goes to
Registered representative Thomas Jones has been found by a Department of Enforcement hearing to have violated the Code of Procedure. He believes that the hearing panel did not have all the facts and wants to appeal the ruling. His appeal goes to
- the Securities and Exchange Commission
- the Department of Enforcement
- the National Adjudicatory Council (correct)
- the arbitration panel
An arbitration panel has found that Seacoast Securities owes $7,500 to its customer Greg Garcia. Seacoast does not believe that the panel ruled correctly and desires to appeal the ruling. Such an appeal is
An arbitration panel has found that Seacoast Securities owes $7,500 to its customer Greg Garcia. Seacoast does not believe that the panel ruled correctly and desires to appeal the ruling. Such an appeal is
- not possible; there is no appeal to an arbitration award (correct)
- filed with the NAC
- filed with the SEC
- filed with the courts
All of the following records must be retained indefinitely except
All of the following records must be retained indefinitely except
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A written customer complaint is retained
A written customer complaint is retained
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