Question: A Registered Representative is permitted to work from a home residence conducting normal business activities. Regarding the arrangement, all of the following are true EXCEPT?
A Registered Representative is permitted to work from a home residence conducting normal business activities. Regarding the arrangement, all of the following are true EXCEPT?
A. The location would be subject to premise visit and review by a principal of the firm
B. The address and phone number of this location may not be advertised
C. Approval of the member firm's SRO is required
D. Taking customer orders for the purchase & sale of securities would be permitted at this location
An investor would expect the lowest income stream from?
Speculative Bonds
Ordinary Debentures
Subordinated Debentures
Convertible Debentures
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