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以同学2021-01-27 22:46:40

Carter has always been satisfied with the execution provided on the full-service trades, and the new low-fee trades are comparableothe fees of other brokers currently used for the accounts that prohibit soft dollar arrangements .A. Karter can trade for his accounts that prohibit soft dollar arrangements under the new low-fee trading scheme. B. Carter cannot use the new trading scheme because the commissions are prohibited by t soft dollar restrictions of the accounts .c. Carter should trade only through the new low-fee scheme and should increase his trading volume to meet his required commission commitment. B选项为什么不对

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Danyi2021-01-28 17:47:31

同学你好,
这道题A正确。这题考察的是Loyalty,prudence and care。该准则要求协会会员和候选人为客户争取最大利益。现在这个经纪公司提供的服务又好又便宜,所以Carter可以为自己的不使用“软美元”服务的客户安排该券商提供的新型服务(费用低,只帮客户交易)。

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