Series 3: 7.3.8.1. Customer Identification Program

Taken from our Series 3

7.3.8.1. Customer Identification Program

Every FCM and IB must adopt a written Customer Identification Program to assure it knows the true identification of its customers. For individual persons, it must identify name, address, date of birth, and social security number or tax identification number.

The firm must make a reasonable attempt to verify the identity of each new customer. This verification can be done with a current driver�

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.8.1. Customer Identification Program, you might also be interested in:

Series 66 - 9.3.5.2 Regulation Best Interest

Series 65 - 10.6.3. Requirements for Broker-Dealers

Series 26 - Fidelity Bonding

Series 7 - 2.14.2.3. Customer Suitability and Public Communications

Series 82 - Taxation of Corporate Bonds

Series 24 - Securities Futures

Series 50 - Make-Whole Call

Series 24 - SEC Rule 611 – Order Protection Rule

Series 24 - Tax Considerations

Series 7 - Chapter 18 Practice Questions

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

I initially studied using a different exam prep course (The Securities Institute of America). I waited until I consistently passed the practice exams with a score over 90% before I took the actual exam and unfortunately I failed the exam on my first attempt. I discovered and purchased the Solomon Exam Prep and immediately noticed the studying material was more in depth. I waited until my practice exam score was consistently over 85% and I went to take the actual exam and passed. Thank you so much!! (Series 3)

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

I came into my studies with very little experience. With the amazing help and support from the Solomon Team I passed the SIE on my first attempt. I am extremely grateful for the study material that Solomon has provided. I am onto the 7 TO.

Wc Harbert, RBC. Eugene, OR

Solomon Exam Prep is the "go-to" study guide for any busy professional in our industry. Extraordinary customer service and responses to your questions via email. Excellent flow of subjects, quizzes, test and audiobooks for on-demand refresh. Don't settle for any other test platform for our industry. The goal is to pass the test and they have the staff and platform to help you achieve your goal.

Robert Jones, US Capital Global. San Francisco, CA

I passed the Series 63 after using the study materials from Solomon. The practice exam and quizzes were the most amount of help. How the questions are asked really makes a difference. It gets your mind ready for how the exam will phrase the questions. Highly recommend this to anyone taking the Series 6 and/or 63. Great material! Will be returning for the Series 7 in the future.

Joseph DeLoach, WoodmenLife, Eatonton, GA