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

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

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Series 65 - State Authority over Federal Covered Securities

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