Which of the following, under the NASD
Conduct Rules, would constitute a complaint?
I. An angry telephone call from a customer to a registered
representative’s (RR) supervising principal,
the RR’s attitude.
II. A letter, written by a client’s attorney,
to the compliance
office of a broker-dealer, which alleges impropriety
handling of the client’s discretionary account.
III. A telephone call to a principal in a broker-dealer
a principal in another firm, alleging that one of
RRs has been “stealing” customers.
IV. A hand-written note, sent to a RR, by a customer
unhappy with the recommendations and performance of
a) I, II, III, IV
b) II, IV
d) II, III, IV