Unit 18 Complaint Resolution Flashcards
1
Q
Customer complaints are maintained for ___ years.
A
4
2
Q
Customer account records are maintained for ____ years.
A
6
3
Q
A customer may initiate a resolution for FINRA Code of Arbitration disputes last for
A
6 years
4
Q
Statue of limitations for securities fraud and broker negligence is no longer than
A
5 years after occurrence
