Series 6: 2.1.3.1. Customer Identification Verification

Taken from our Series 6 Top-off Online Guide

2.1.3.1. Customer Identification Verification

A broker-dealer must establish and maintain a written Customer Identification Program (CIP) as part of the government’s anti–money laundering compliance program.

The USA PATRIOT Act requires member firms to use the name, address, date of birth, and Social Security number or tax identification number to independently verify

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