SIE practice questionhardFINRA Rules
A registered rep receives a customer order that appears to lack information about the number of shares. What should the rep do?
- AObtain the missing information before executing the order✓ Correct answer
- BFill the order with an average amount
- CExecute the order immediately
- DRefuse to serve the customer
Explanation
Why A — Obtain the missing information before executing the order
FINRA requires all material order details before execution. Executing with missing info or guessing is prohibited.
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