Investment Company and. Variable Contracts Products Principals (Series 26) Practice Exam

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Within how many business days must a firm provide a customer with a copy of any signed predispute arbitration agreement upon request?

5 business days
10 business days
15 business days
20 business days

The correct answer is: 10 business days

A firm is required to provide a customer with a copy of any signed predispute arbitration agreement within 10 business days upon request. This requirement is designed to promote transparency and ensure that customers have access to critical information regarding the dispute resolution process they may be entering into with the firm. Promptly supplying this document helps to uphold fair practices and allows customers to fully understand their rights and obligations as outlined in the agreement. The regulation emphasizes the importance of accessibility to such agreements, fostering trust between the firm and its customers.