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
This topic goes unnoticed so much which is odd because practice finals and real finals consistently question on this . Good Job!
Thanks for another great video.
Another good one, thanks Ken! If I pass this thing first try it'll be thanks to you.
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
Ken love your vids!
Thank you !!
Thanks Ken!
Sir, Can a registered rep pay another registered rep at a different firm a “fee” for a client referral? Thank you!
The firm can but the RR cannot
Thanks Ken!