Series 3: 7.3.8.1. Customer Identification Program

Taken from our Series 3 Online Guide

7.3.8.1. Customer Identification Program

Every FCM and IB must adopt a written Customer Identification Program to assure it knows the true identification of its customers. For individual persons, it must identify name, address, date of birth, and social security number or tax identification number.

The firm must make a reasonable attempt to verify the identity of each new customer. This verification can be done with a current driver�

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.8.1. Customer Identification Program, you might also be interested in:

Series 66 - 2.4.12.4 Convertible Bonds

Series 26 - Breakpoints

Series 26 - Voting Rights

Series 7 - 3.3.2.1.2 Continuing Disclosure Agreement

Series 24 - Supervisory Control Procedures

Series 7 - 14.5.5 Cash and Mailing Instructions

Series 66 - 3.1.2 Types of Mutual Funds

Series 65 - 2.3.3. Issuance of Preferred Stock

Series 65 - Reasons for Disciplining an Adviser, IAR, Broker-Dealer, or Agent

Series 65 - 2.14.3. Brady Bonds

SIE - 8.4.8. Time of Trade Disclosure

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

I initially studied using a different exam prep course (The Securities Institute of America). I waited until I consistently passed the practice exams with a score over 90% before I took the actual exam and unfortunately I failed the exam on my first attempt. I discovered and purchased the Solomon Exam Prep and immediately noticed the studying material was more in depth. I waited until my practice exam score was consistently over 85% and I went to take the actual exam and passed. Thank you so much!! (Series 3)

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL

I passed the Series 50 on the first attempt thanks to Solomon's materials. Although the questions on the exam were much more difficult and complex in structure and format than the Solomon practice exams, the study materials & practice exams did enforce the concepts that the actual exam was testing. Thank you Solomon!!!

Lisa Gesin, Gesin Consulting, Dallas, TX

I passed first try on the SIE. Thanks to Solomon! The exam simulator is super helpful for prepping for test day.

William Windham, Solebury. Brooklyn, NY