The Operations Professional Qualification Examination The Securities Institute of America, Inc. ac A paying ... All broker dealers that carry customer accounts must send their customers information detailing FINRAa#39;s public disclosure program at least once per calendar year. ... A copy of the firma#39;s policy and procedures manual, CHAPTER 6 General Supervision 155 Customer Complaints Investor Information.
|Title||:||Wiley Series 99 Exam Review 2015 + Test Bank|
|Author||:||The Securities Institute of America, Inc.|
|Publisher||:||John Wiley & Sons - 2014-10-22|