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Selling Away Drill

Dashboard > Violations > Selling Away > Selling Away Drill

1.

Selling away is generally prohibited, but under what circumstances could a broker sell securities that are not offered by his firm?
- (A)The broker would need to obtain verbal approval from his firm.
- (B)The broker would need to obtain written approval from his firm and financial statements of the security.
- (C)The broker would need to obtain written firm approval, provide disclosure statements, and allow his firm to supervise the sales activities and keep a file of everything on the firm's books and records.

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