"A prospective customer has been solicited by a registered representative, and prior to opening an account, the customer wishes to check on the disciplinary background of that registered representative.

"A prospective customer has been solicited by a registered representative, and prior to opening an account, the customer wishes to check on the disciplinary background of that registered representative. Which statement is TRUE?"

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"A prospective customer has been solicited by a registered representative, and prior to opening an account, the customer wishes to check on the disciplinary background of t…

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