Series 14: Chapter 8

Taken from our Series 14 Online Guide

Chapter 8

Customer/Employee Accounts

Among the major functions of a brokerage operation are opening and maintaining customer accounts, as well as handling conflicts of interest and complaints related to those accounts. In this chapter, we outline the processes to follow when opening and maintaining customer accounts and provide descriptions of the different types of accounts that a firm manages.

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Series 14: Chapter 8

Taken from our Series 14 Online Guide

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