SIE: Exercise

Taken from our SIE Online Guide

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Exercise

Answer the following questions.

1. Smith & Smith, a broker-dealer, opens a new account for Viola. It must send a copy of the new account form to Viola within _____ and then every _____ after that to keep Viola’s financial suitability information updated.
2. The USA PATRIOT Act requires member firms to verify customers’ identities. How long must records relating to this information be

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Since you're reading about SIE: Exercise, you might also be interested in:

Series 24 - 3.4.2. Account Transfers

Series 3 - Chapter 6 Practice Questions

Series 63 - Outside Business Activities

Series 26 - Arbitration Process

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