Series 6: Chapter Two

Taken from our Series 6 Online Guide

Chapter Two

Opening and Maintaining Customer Accounts

Some of the most important functions of a representative are opening, maintaining, and closing customer accounts. In this chapter we describe the many types of accounts that a broker-dealer manages, as well as the activities necessary to manage these accounts.

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Since you're reading about Series 6: Chapter Two, you might also be interested in:

Series 3 - 7.5.2. Disclosure Document

Series 66 - Exemptions from Registration

Series 65 - Investment Advisers Act of 1940

SIE - Exercise

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