Practice Quiz

FINRA Series 63 (NASAA)

Category - Series 63

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Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail from Mr. Wolf regarding her performance as his agent. What are Ms. Swyne’s legitimate options?
  1. Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to revoke the complaint.
  2. As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and make it all go away.
  3. Ms. Swyne must forward the complaint to the state Administrator.
  4. Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.
Explanation
Answer: D - Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint sent by Mr. Wolf. Bear Broker-Dealers is required to respond to this complaint in writing and keep a record of it. E-mails are treated the same as snail-mails.
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