A registered representative wishes to sell a customer a limited partnership unit that is offered through his friend - the general partner in the venture. Under FINRA rules, this action is:

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03-07-2020
Business

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A registered representative wishes to sell a customer a limited partnership unit that is offered through his friend - the general partner in the venture. Under FINRA rules, this action is:

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ogorwyne ogorwyne · Answer 1 · 2020-07-07T02:33:56+02:00

ogorwyne ogorwyne

07-07-2020

Answer:

only permitted if the member firm is notified in writing and gives prior written approval to the transaction

Explanation:

Under FINRA rules, registered representatives cannot effect private securities transactions.

But FINRA does allow an exemption from this prohibition on the condition that the member firm is notified in writing and gives prior written approval to the transaction

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