What is an introduci - Study guides, Class notes & Summaries

When are cold calls permitted? - ANSWER-Between 8am and 9pm in the time zone of the person being called Are broker-deals required to maintain a record of new account forms? - ANSWER-Yes What is an introducing firm? - ANSWER-Has a direct relationship with the client -- can open accounts and accept customer orders Does not handle customer assets or actual trade What is a clearing firm? - ANSWER-Responsible for processing and selling customer transactions, maintaining custody of custome...