Câu 86: SIE: Securities Industry Essentials

A customer has agreed to purchase a risky investment. The registered representative’s (RR’s) firm requires the customer’s signature on a risk disclosure form; however, the customer is unavailable to sign the form. The RR signs the form on behalf of the customer sing a digital signature platform. Which of the following statements best describes the permissibility of the RR’s actions?

1. A. The RR’s actions are permissible since the customer was unavailable.
2. B. The RR’s actions are permissible since the investment is suitable for the customer and the RR has received oral authorization to place the order.
3. C. The RR’s actions are impermissible since the RR is prohibited from signing on the customer’s behalf. — đáp án hiện tại
4. D. The RR’s actions are impermissible since the RR is only permitted to sign on the customer’s behalf if he is using a hard copy form.