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FINRA Securities Industry Essentials Exam (SIE) SIE Question # 83 Topic 9 Discussion

FINRA Securities Industry Essentials Exam (SIE) SIE Question # 83 Topic 9 Discussion

SIE Exam Topic 9 Question 83 Discussion:
Question #: 83
Topic #: 9

A customer calls his registered representative (RR) with a request to hold all mail for the next six weeks. During the call, the RR checks his files and finds a letter from the customer for a similar request made the prior year. Despite a suggestion to convert to electronic statements via the firm website, the customer prefers paper statements. Holding this customer ' s mail is:


A.

permissible if the customer provides written instructions.


B.

permissible because the customer previously authorized holding mail.


C.

not permissible because the request is for more than one month.


D.

not permissible because the customer opted out of electronic statement delivery.


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