Series 14: Exercise

Taken from our Series 14 Online Guide

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 updated.

2.The USA PATRIOT Act requires member firms to verify customers’ identities. How long must records relating to this information be kept?

3.Janelle closes her account with Smith & Smith. How long must Smith & Smith

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