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NEW QUESTION: 1
Broker-dealer Small & Associates has received a complaint about one of its agents, Mr. Ari Gaunt. Small
& Associates is required to
A. provide the client with a written response to the complaint.
B. keep the complaint in Mr. Gaunt's employee file as long as Mr. Gaunt remains employed with the firm.
C. call the client who complained and inform him of the disciplinary action that will be taken against Mr.
Gaunt.
D. immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered
agent.
Answer: A
Explanation:
Small and Associates must provide the client a written response to the complaint about Mr.
Ari Gaunt. The broker-dealer does not need to forward the complaint immediately to the state
Administrator, nor is it required to keep the complaint in Mr. Gaunt's employee file indefinitely.
NEW QUESTION: 2
DRAG DROP
Answer:
Explanation:
Explanation
NEW QUESTION: 3
다음중 정적 테스트만으로 가장 효과적으로 해결할수 있는 제품 위험은 무엇입니까? 3 학점
A. 테스트 케이스는 주요 요구 사항을 다루지 않습니다.
B. 응용 프로그램이 추가 표지 요청을 처리하는데 너무 오래 걸립니다.
C. 낙찰자는 필요한 모든 기능을 제시간에 제공하지 못할수 있습니다.
D. 제공된 응용 프로그램에서 요구 사항에 지정된 국가중 하나가 올바르게 구현되지 않았습니다.
Answer: A
NEW QUESTION: 4
A. Option A
B. Option D
C. Option C
D. Option B
Answer: D
Explanation:
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