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A customer will be out of the country for the next two months on business...

A customer will be out of the country for the next two months on business and asks his firm to hold his mail until he returns. Which of the following statements is true regarding this request?

A.

The firm is prohibited from holding the customer's mail under FINRA rules due to the personal information contained.

B.

The firm must receive written instructions from the customer that include the time period for the requested mail hold.

C.

The firm is permitted to hold the mail as long as the registered representative (RR) complies with the customer's oral instructions.

D.

At the discretion of the RR, the firm is permitted to hold the customer's mail provided it takes reasonable actions to ensure no tampering occurs with this mail.

FINRA SIE Summary

  • Vendor: FINRA
  • Product: SIE
  • Update on: Jan 2, 2026
  • Questions: 188
Price: $52.5  $149.99
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