To assist broker-dealers with compliance, NASAA prepared a fee disclosure template. Based on the template, all of the following broker-dealer charges would be disclosed except A) brokerage commissions. B) fees for issuance of stock certificates. C) account transfer fees. D) account maintenance fees.

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28-12-2021
Business

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To assist broker-dealers with compliance, NASAA prepared a fee disclosure template. Based on the template, all of the following broker-dealer charges would be disclosed except A) brokerage commissions. B) fees for issuance of stock certificates. C) account transfer fees. D) account maintenance fees.

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Tundexi Tundexi · Answer 1 · 2022-01-07T14:44:22+01:00

Account transfer fees and account maintenance fees would not be disclosed as the broker-dealer charges.

NASAA means the North American Securities Administrators Association.

The NASAA prepared a fee disclosure template to assist broker-dealers with compliance.

Based on the template, the following broker-dealer charges which would be disclosed includes:

account inactivity fee
charges for late payments
issuance of a stock certificate
account transfer fees

In conclusion, all of the following broker-dealer charges would be disclosed except the account transfer fees and account maintenance fees.