Question: A registered representative left her office just before a client called to place an order. If the representative's non - registered assistant takes the call,
A registered representative left her office just before a client called to
place an order. If the representative's nonregistered assistant takes the
call, what is the assistant able to do with the customer's order?
A Take the order and submit it for execution since it's unsolicited.
B Take the order, submit it and share in the commissions.
Record the details of the order and provide them to the registered representative when she returns.
Do nothing until the representative returns.
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