Karen works Monday to Wednesday for a member of the MFDA as a dealing representative...

Holding client orders until the following week violates the requirement for continuous service to clients under dual employment conditions. The feedback from the document states:

"A mutual fund dealing representative who works for or is sponsored by a member of the MFDA may have, and continue in, another gainful occupation, provided that the dealer establishes and maintains procedures to ensure continuous service to clients. In this example, Karen’s clients are not receiving continuous service."