Resolving Disputes (The FINRA way!) Series 7 Exam Prep

[@LeoSeaZen]

This topic goes unnoticed so much which is odd because practice finals and real finals consistently question on this . Good Job!

[@darlag13]

Thanks for another great video.

[@Lucky13714]

Another good one, thanks Ken! If I pass this thing first try it'll be thanks to you.

[@Series7Exam]

As has been pointed out to me. Complaints ARE submitted to FINRA within 15 days after the end of the quarter I was always institutional so we never really had any complaints to submit. That’s what happens when you try to do everything by memory and experience

[@danielwerner9543]

Ken love your vids!

[@Series7Exam]

Thank you !!

[@kindlerudolph9795]

Thanks Ken!

[@francofernandez133]

Sir, Can a registered rep pay another registered rep at a different firm a “fee” for a client referral? Thank you!

[@Series7Exam]

The firm can but the RR cannot

[@Stavros_Steve_Deriziotis]

Thanks Ken!