Series 99: 1.2.3.1 Updating Customer Account Records

Taken from our Series 99 Top-off Online Guide

1.2.3.1 Updating Customer Account Records

As described earlier, the SEC requires that brokerage firms create a record for each account based on the information provided in the new customer account form. The firm must return a copy of the new account form to the customer within 30 days of opening the account. In maintaining the account, the firm must also

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