Business, 01.06.2021 19:40 eburnhisel2023

A new customer wishes to open an account at your firm by purchasing $5,000 of DEF mutual fund shares. He informs you that he has previously invested $30,000 in the fund at another broker-dealer. As the registered representative handling the account, you should tell the customer that: A to qualify for the breakpoint, he must buy the shares from the other broker-dealer B he must transfer the account from the other broker-dealer in order to qualify for the breakpoint C he qualifies for a breakpoint sales charge reduction on the $5,000 purchase D cannot qualify for a breakpoint sales charge reduction on the $5,000 purchase

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A new customer wishes to open an account at your firm by purchasing $5,000 of DEF mutual fund shares...

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