FINRA Series-63 Question Answer
When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm’s compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.
FINRA Series-63 Summary
- Vendor: FINRA
- Product: Series-63
- Update on: Jul 25, 2025
- Questions: 251
