Series 7: Chapter Fourteen

Taken from our Series 7 Online Guide

Chapter Fourteen

Customer Accounts

Among the major functions of a brokerage operation are opening and maintaining customer accounts, handling the movement and transfer of securities, tracking regulatory compliance for margin accounts, and distributing dividends. In this chapter, we describe the many types of accounts that a member firm manages, and we examine the rules that govern these operations.

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Since you're reading about Series 7: Chapter Fourteen, you might also be interested in:

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Series 6 - 8.1.1. Cash Accounts

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