Series 3: Exercise

Taken from our Series 3 Online Guide

Exercise

Please answer true or false.

1. _____ A commodity customer agreement obligates the customer to maintain required margins in its account at all times.

2. _____ In a commodity customer agreement, a firm has the right to liquidate any customer positions or cancel any open orders if the customer fails to keep sufficient capital in its account.

3. _____ Customers must receive disclosure documents, but they do not have to attest to reading them.

4. _____ Firms must decide whether to liquidate, exercise, or allow contracts to expire within some designated time, and inform customers of this decision.

5. _____ Customers must affirm that financial information is true on their commodity customer agreement.

6. _____ Discretionary authority may be given verbally, as long as the written authority is given within 10 business days of the first transaction.

7. _____ Discretionary authority is required when making

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