An agent of a broker-dealer is opening a new client account. The agent has completed the new account application and the suitability determination. The customer has an investment objective of safety of principal and income. The agent makes an initial recommendation of a conservative blue chip stock with a track record of paying a consistent cash dividend. The customer accepts the recommendation. When must the commission charged on the transaction be disclosed to the customer?A. At the time that the order is placedB. At the time when the order is filledC. At the time when the account is openingD. On the confirmation of the transaction

Answers

Answer 1

Answer:

option D. On the confirmation of the transaction

Explanation:

in business transaction, there is no rule or requirement  for disclosure of the  commission charged to customers at the time of the trade or at the time of account opening. it is only after the confirmation of the transaction  can it be disclosed. that is,  the only requirement is that the commission be disclosed on the trade confirmation. Also remember that any commission charged must be "fair and reasonable."


Related Questions

What is the definition of diversity? differences among people due to age, gender, race, ethnicity, religion, sexual orientation, socioeconomic background, or other characteristics differences in the levels of job satisfaction and organizational commitment among managers in different countries because they face different economic, political, and sociocultural forces in their organizations' general environments the extent to which an individual has a strong desire to perform challenging tasks well and to meet personal standards for excellence the extent to which an individual is concerned about establishing and maintaining good interpersonal relations, being liked, and having the people around him or her get along with one another the extent to which an individual desires to control or influence others

Answers

Answer:

differences among people due to age, gender, race, ethnicity, religion, sexual orientation, socioeconomic background,

Explanation:

Diversity is the difference that is created by people from different believes, philosophy and Ideology. It is the reality we see that is created by human.

Diversity could occur due to difference in interest, age group, ethic group, believes of individual. Diversity becomes beautiful when everyone is appreciated and accepted for who they are this help foaster peace, love, progress and unity among people.

“China‟s famine of 1958-61 was a result of government policies.” – Explain.

Answers

Explanation:

It is because of China had multi party elections an opposite party and a press free to criticize the government then so many people may not have died in the famine.

Hope it help

How many conutries are there in the world

Answers

Answer:

There are 195 countries in the world today.

Explanation:

This total comprises 193 countries that are member states of the United Nations and 2 countries that are non-member observer states: the Holy See and the State of Palestine.

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Answer:

956

Explanation:

How Kush became independent from Egypt?

Answers

Answer:

It was first established around 1070 BCE when it gained its independence from Egypt. It quickly became a major power in Northeast Africa. In 727 BCE, Kush took control of Egypt and ruled until the Assyrians arrived. The empire began to weaken after Rome conquered Egypt and eventually collapsed sometime in the 300s CE.

federalism is more democratic and inclusive than unitary system of government.justify the statement with four reason

Answers

Explanation:

Federalism is an important concept of decentralization of power of state. The federal system is more democratic and participatory because of the following reasons:

In federalism the power of the state is decentralized to the federation , provinces and local levels so that the government can rule with the maximum participation of citizens.

Federalism is considered as more inclusive political system which ensures the equal opportunities and participation of all caste, class , gender and regions.

Federalism is based on the principal of cooperation , coexistence and collaboration which makes the federal system more democratic and transparent.

Federalism is a combine of federal , provincial , and local level governments which has formed through the elected representatives of people so that federalism can ensure the values of democracy.

Hope I helped!

Best regards!!

The main difference between federalism and unitarianism lies in the decentralization or not of the government structures of a given country in sub-national entities such as states or provinces. Now, this does not necessarily have any kind of link with democracy and the inclusion of citizens, due to the following reasons:

In both federalism and unitarianism, democracy is the form through which the rulers of the nation are elected. That is, the form of national organization does not determine the existence or not of a democracy. The inclusion of citizens within the government can take place in a federation or in a unitary government, since it does not necessarily imply a greater or lesser presence in the lives and needs of citizens. In turn, authoritarian governments can be decentralized, so that tyrants can control their territories through their subordinates, which means that democracy is not necessarily stronger in federal systems. Finally, democracy and inclusion are evident when social welfare is also evident. Therefore, if the government is structured in a federal or unitary way, it will not matter if the results are correct.

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¿Cuando hablamos del concepto de relaciones humanas en que pensamos?

Answers

La respuesta correcta a esta pregunta abierta es la siguiente.

Cuando hablamos del concepto de relaciones humanas lo que pensamos es en la forma en la que los seres humanos deben de interrelacionarse los unos con los otros en nuestra sociedad.

A través de las relaciones humanas, somo capaces de entender las circunstancias del otro, respetar su forma de pensar sabiendo que eso hará que ellos respeten la mía, y además será la generadora de entendimiento a través e la tolerancia.

Las relaciones humanas permiten una convivencia más armónica entre las personas que conforman una comunidad, una sociedad, un grupo de trabajo y una familia.

The hunting of which of these
animals is banned in India? *
1.lions, tigers, deer, great Indian bustards,
and peacocks
2.lions, tigers, chicken, great Indian bustards,
and peacocks
3.lions, tigers, fish, great Indian bustards, and
peacocks
4.lions, tigers, giraffe, great Indian bustards,
and peacocks​

Answers

Answer:

1.lions, tigers, deer, great Indian bustards, it is the correct option

Explanation:

According to the Navigation Rules, a risk of imminent collision exists in which situation? Boats are operating in open waters less than 40 feet from each other A vessel is exiting an area of commercial vessels A vessel is operating in a marine sanctuary The course of an approaching vessel does not change

Answers

The correct answer is D) The course of an approaching vessel does not change.

According to the Navigation Rules, a risk of imminent collision exists in the following situation: when the course of an approaching vessel does not change.

If you like to operate boats, then you need to read the document that publishes the United States government in this regard. It is called the Navigation Rules. And you can buy it in any store that sells boating supplies. A copy of this document should always be aboard the vessel. The most important thing is to minimize the risk of collisions and accidents. You have to learn your obligations and what to do in certain situations.

Angie’s mother allows her to schedule her own study and relaxation times, with the expectation that Angie must continue doing well in school and must discuss her activities with her mother ahead of time. Her mother checks on Angie’s school progress frequently and talks with Angie about her social life and problems. Angie’s mother is showing an approach we call:

Answers

Answer:Some broken statues from a Berlin museum were reassembled like jigsaw puzzles. Consider an assembled jigsaw puzzle that is shaped like a rectangle. It is 27 inches long and 20 inches wide. If the puzzle has 1,000 pieces, what is the average area per piece?

Explanation:Some broken statues from a Berlin museum were reassembled like jigsaw puzzles. Consider an assembled jigsaw puzzle that is shaped like a rectangle. It is 27 inches long and 20 inches wide. If the puzzle has 1,000 pieces, what is the average area per piece?

Conference committees are established when: Group of answer choices Standing committees are unable to reach agreement on bills The House and Senate pass different versions of the same bill There is a major scandal or crisis that needs to be investigated The president requests Congress to conduct a special study on some problem the nation is facing

Answers

Answer:

The house and senate pass different versions of the same bill

Explanation:

A conference committee is a make shift joint committee, consisting of House and Senate members, formed basically to resolving differences in a bill that has passed through both chambers . Here, both chambers - House and Senate passed different versions of the same bill hence requires reconciling the differences in the bill by the conference committee.

The committee is usually formed to resolving differences between the upper and lower house on important and major legislation that are controversial in nature.

How did hostility and drought affect Jamestown

Answers

Answer: it created alot of killing people and learning new ways to live.

Explanation:

What is the correct definition of a hemisphere?


a line of longitude


the mid point between the North and South Poles


one half of the Earth


a line of latitude

Answers

Answer:

A. Line of longitude.

Explanation:

[tex]good \: luck[/tex]

where is plassey and how did it get its name?

Answers

Answer:

the battle of plassey happened in a place called palashi which got its name from the palash tree which grows here. this word changed into plassey

Explanation:

?

Answer:

Plassey is located approximately 50 kilometres north of the city of Krishnanagar in Kaliganj CD Block in the Nadia District of West Bengal, India. Plassey got its name after the battle of plassey which happened in a place called palashi which got its name from the palash tree which grows there.

Explanation:

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Why did the European colonists bring African laborers to the Caribbean? A) to look after their children while they were at work B) to create music for the colonists C) to work on their plantations D) to work in their homes

Answers

Answer:

C) to work on their plantations

Explanation:

This is what started the civil war can I brainliest?

in which type of government are military or secret police most likely to be used to prevent opposition?

Answers

Answer:

Desde que las Fuerzas Armadas Revolucionarias de Colombia (FARC) se ... pero el gobierno no debe alienar a la población y exacerbar la pobreza de tal forma que se ... Aumentar la presencia permanente de la policía y el ejército en poblados ... las percepciones sobre el Estado y qué sería necesario hacer para mejorar

Answer:

Fascist

Explanation:

What industry brings more money into Colombia than the coffee growing industry? A) the oil production industry B) the tourism industry C) subsistence farming D) the illegal drug trade


Answers

Answer:

D, illegal drug trade

Explanation:

Answer:

The ANSWER IS ILLEGAL DRUG TRADE

Explanation:

There is a great prospect of religious tourism in Napal.Justify

Answers

Answer:

Explanation:Yes,it’s true that there is a great prospect of religious tourism in Nepal.As we can see there is diversity in the religions in Nepal.People living in same community are Hindu ,Muslim ,Christian etc . But because of these also there is no sort of fight and quarrels in the name of religion. They celebrate each other festivals with great joy .So ,from this we can say there is a great prospects of religious tourism.

I want to travel to a country . should I take my sister or my best friend ?​

Answers

Take your best friend

Answer:

take your best friend. you never know when that will friendship will end so make it worth it while it lasts

Can I have your number?​

Answers

Answer:

??????????????????????

Sure:

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704-284-Mind You're own business

"Development is the result of capacity of the society to organise resources to meet
challenges and opportunities. Explain this statement.

Answers

Explanation:

development is the result of societies capacity to organise resources to meet challenges and opportunities societies passes through well-defined stages in the course of its development productivity of resources enormously as the quality of organisation and level of the knowledge input rise

Refer to Explorations in Literature for a complete version of this narrative.


Which sentence best states a central idea of "The Oasis: Africa"?



Nature can be a brutal enemy to humans.



Food and rest can make all of life’s troubles disappear.



Violence does not pay off in the end.



Comradeship breaks down barriers among religions.

Answers

The sentence best states a central idea of "The Oasis: Africa" is Nature can be a brutal enemy to humans. Thus the correct option is A.

What is the Central idea?

The central idea of any literature piece defines the main idea and highlights what will go to take place in the story. It helps the audience to understand the plot by connecting with the events.

Through the basic premise that Nature may be a brutal enemy to mankind, The Arabs were visibly disappointed at not having made it to the desert, and several were already starting to experience dehydration there.

Nature opposes the circumstance implied by the phrase "Clinch tight your water skin on the desert," as there is no mercy in the Sahara and one who lacks water is not permitted to consume.

Therefore, option A is appropriate.

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Answer:

A. Nature can be a brutal enemy to humans.

Explanation:

where was buddha born?​

Answers

Answer: buddha was born in nepal

Explanation:

Answer: Lumbini Province, Nepal

Explanation: I looked it up

Classify the following according to their nature of activity and sector : Nature of work Nature of Activity . Sector Farmer Primary . Unorganized Bank clerk Construction worker Bus conductor Free lancer Public sector factory worker Own tailoring shop

Answers

answer:- Primary Sector: Basket weaver, Flower cultivator, Milk vendor, Fishermen, Money lender, Gardener, Potter, Bee-keeper

Secondary Sector: Workers in match factory

Tertiary Sector: Tailor, Priest, Courier, Money lender, Astronaut, Call centre employee

if I am right then make me brainliest

examples of government in your daily life?

Answers

Having mail delivered to your home.

Going to school.

Receiving Social Security benefits.

Paying income taxes.

Eating safe, non-toxic food.

Driving a car.

Breathing clean air.

Having police protection.

You are a prosecutor and are preparing for an upcoming trial. This is a case of arson, and the defendant is accused of setting fire to a barn, causing it to burn to the ground. Initially, you charged the defendant with attempted murder, since there was reason to believe the barn might have been occupied at the time. In reality, you knew that you would not be able to prove this charge in court. You thought that adding this serious charge might lead the defendant to plead guilty to the arson charge if you agreed to drop the attempted murder charge. This arrangement would be a:

Answers

Answer:

This would be a plea bargain.

Explanation:

The given arrangement would be a plea bargain, in the case if a person charged the defendant with attempted murder.

What is the plea bargain?

In criminal court proceedings, a plea deal is an arrangement whereby the prosecution makes a concession to the defendant in exchange for a guilty or no contest plea.

The most obvious advantage is the time and money savings for the parties, the court, and the public. Because the person receives a shorter punishment for admitting to a lesser offence, the defendant may frequently benefit from the plea negotiation process.

In most cases, finding a settlement outside of court is the primary goal of informal negotiations between the prosecutor and the defence attorney during the plea bargaining process.

Therefore, If the defendant were accused of trying to kill someone, the given arrangement would be a plea bargain.

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How does efficiency affect society?

Answers

Answer:

Through the matter of efficiency, businesses and organizations have developed ways to make life more convenient for consumers. From fast-food restaurants to online classes, life is much easier than it was 50 years ago. Through efficiency people can have what they want, when they want, and the quickest way possible.

Hopes this helps! ∪ω∪

Answer:

Through efficiency people can have whatever they want, when they want it.

Explanation:

Through the matter of efficiency, businesses and organizations have developed ways to make life more convenient for consumers. Life today is much easier than how it was over 70 years ago.

In 4 to 5 sentences give an example of a decision made in its intended consequences then give an example of a decision you made that had unintended consequences

Answers

The correct answer to this open question is the following.

The intended consequences decision was the following.

I was very aware that if I committed myself to study and work hard, I had a real chance to overcome my bad situation in school, and I could change the wrong perception my teachers had about my behavior. I knew I had to show a totally different picture of me and my work, as the kind of attitude I show at the beginning of the semester.

The decision I made that had unintended consequences was when I decided to work last summer in a fitness club as a clerk, just to make a few extra dollars and not stay at home being lazy. The unindented consequence was that the company was in the marketing and promotion period and they thought that I could be part of the marketing and advertising campaign, participation in some of the promotional videos. Just by working there and being a dedicated employee, they invited me to do some advertising and I ended up earning some more money that I invested to pay school.

Identify an artifact that embodies or refers to ethical values, and write a sentence stating what the ethical connection is. e

Answers

The correct answer to this open question is the following.

Identify an artifact that embodies or refers to ethical values, and write a sentence stating what the ethical connection is.

We can refer to the ethical decisions and actions of a college football coach that benefits the team as an example of discipline and commitment, over only winning.

The coach knows that the team is representing the University nation-wide and the team members are the first ones to set the examples of the values he teaches. So one big star of the team makes the wrong decision, the coach has to be congruent with his system of values and apply the proper corrections, although this means the suspension of the player for a key conference game.

If the coach stands by his ethical principles, he won't hesitate to suspend the great player to show his team he is congruent with the values he teaches.

hi :) I need help with source e ! I don’t really understand what it means (and the purpose of it too)

Answers

Answer:

What means the text: employment differences between graduates from Singapore and foreign students.

The purpose: The foreign students are more welcome on labour market so the Singapore students have real difficulties to find a job.


Write a letter to your friend highlighting the recent changes and
development activities in your district.​

Answers

Dear Peter.

First of all I would like to wish that you and your family are well and safe. I believe that you, like me, are anxious about our future with all these things happening, but I am writing to tell you the news of our district, to distract you and keep you informed.

Although the circulation of people is still limited and many are afraid to walk the streets, our district is in a growth phase. This is because the commercial hub has finally been finalized and I believe it will be opened soon, as soon as the people responsible for it establish an opening that promotes security among people. The commercial hub will generate a lot of income in the district and this will provide a better quality of life for many people.

I am very excited because I believe that our district has finally entered a growth phase and I believe that this will generate very good results for all of us.

Anyway, I wish, once again, the best in the world for you and your family and I hope to see you again soon.

Affectionately,

Louis Tim.

The letter must have a salutation, a body and a closing.

                                                                          Universal Model School,

                                                                          90 Aba Owerri Road,

                                                                           Aba.

                                                                           December 31, 2021.

Dear Grace,

It has been quite a while since I heard from you. I believe that your family is doing well after the pandemic. Indeed all countries around the world are battling the effects of the pandemic.

Since the pandemic, several notable developmental activities have taken place in Aba. Firstly , the ultramodern Aba city library have been commissioned. This is the largest city library in the eastern part of the country.

Also, the governor has recently approved the construction of three new secondary schools in the district to ensure that the people of Aba can freely access quality education.

I hope to hear about the development activities in Uyo district when i visit you next month.

                                                                                 Yours Sincerely,

                                                                                   Charis

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