FINRA Series-63 Question Answer
AllTime Investment Advisers advertises that its phones are manned 24/7, so that a client “doesn’t have to lie awake all night worrying about a financial problem.” In fact, AllTime does have a answering service that answers calls in the evenings and on the weekends when its offices are closed. The service informs the caller of the firm’s business hours, which will be the earliest opportunity the caller will have to talk to an investment adviser representative.
Is this a violation of any securities laws?
FINRA Series-63 Summary
- Vendor: FINRA
- Product: Series-63
- Update on: Jul 25, 2025
- Questions: 251
