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29 July, 12:16

A registered person wants to set up an investment program for a charity and will not be receiving compensation for his service. Which of the following statements is TRUE?

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  1. 29 July, 12:58
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    B) He is required to provide written notice to his broker-dealer.

    Explanation:

    Under self-regulatory organization (SRO) rules, if a registered person engages transaction involving private securities, he/she must provide a written notice to his firm. Even if their is no compensation involved, the firm still has the right to impose certain conditions regarding the participation of the registered person.
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