SIE: 4.1.3. Opening An Options Account

Taken from our SIE Online Guide

4.1.3. Opening an Options Account

Prior to approving a customer for options trading, a firm must exercise due diligence in finding out essential facts about the customer’s objectives and financial situation. Additionally, the firm is required to keep a record of this information readily available in its files. Specifically, the organization must learn the customer’s investment objec

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