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Intermediate
A written customer complaint alleges unauthorized annuity exchanges and names the representative. The branch logs it locally but does not assess FINRA reporting because the customer has not filed arbitration. What should the principal require?
Evaluate and make any required Rule 4530 reporting while maintaining complaint records and investigating the issue.
Wait until the customer files arbitration.
Report only if damages exceed the account value.
Treat it as oral feedback if sent by email.
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