Abroker-dealer receives a court order directing it to turn over the customer account records of joe jones, a customer with a substantial account. which statement is true?
a. the broker-dealer is not obligated to comply with the order if joe jones directs it not to do so
incorrect answer
b. the broker-dealer is obligated to comply with the order only if it has been issued by the administrator
c. the broker-dealer is not obligated to comply with the order at its discretion
d. the broker-dealer is obligated to comply with the order and must disclose the information
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Abroker-dealer receives a court order directing it to turn over the customer account records of joe...
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