Series 82: Exercise

Taken from our Series 82 Online Guide

Exercise

Answer the following questions.

1. Smith & Smith, a broker-dealer, opens a new account for Viola. It must send a copy of the new account form to Viola within ____ and then every ____ after that to keep Viola’s financial suitability updated.

2. The USA PATRIOT Act requires member firms to verify customers’ identities. How long must records relating to this information be kept?

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