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How long is a broker-dealer permitted to hold a customer's mail without instructions for a valid reason?

A) 30 days
B) 45 days
C) 60 days
D) 90 days

User Darxis
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1 Answer

7 votes

Final answer:

A broker-dealer is permitted to hold a customer's mail without instructions for a valid reason for a period of 90 days.

Step-by-step explanation:

A broker-dealer is permitted to hold a customer's mail without instructions for a valid reason for a period of 90 days. This is in accordance with the rules set forth by the Financial Industry Regulatory Authority (FINRA), specifically Rule 3150. This rule allows broker-dealers to hold mail if there is a valid reason, such as the customer being unavailable or unresponsive.

User George Griffin
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