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A broker/dealer pays a customer $20,000 for a representative's mistake. What would happen if the representative is fined $20,000? a. The representative would be suspended for 90 days. b. Nothing. The customer did not call for arbitration. c. Nothing. The customer was satisfied before anything happened. d. At a minimum, the SRO would open an investigation on the $20,000 error.
Sagot :
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