Trust Funds

If a broker discovers a shortage in the trust account caused by a bank error, what is the BEST course of action?

ACover the shortage with the broker's personal funds and document the correction✓ Correct
BClose the account and open a new one
CWait to see if the bank corrects it
DReport it to the DRE immediately and close the business

Explanation

If a shortage results from a bank error, the broker should immediately use their own funds to cover the shortage (to protect client funds), notify the bank, and document the correction in the trust account records. Client funds must always be fully available.

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