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FINRA Series 7

Category - Series 7

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If a customer dies, the registered representative is required to:

cancel all open (good ‘til cancelled) orders
await instructions and necessary papers from the executor of the estate
sell out the account
both A and B

Explanation

Answer: D - both A and B. These describe the activities a registered representative should undertake when a customer dies.

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FINRA Series 7

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FINRA Series 7

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