SIE Understanding Trading, Customer Accounts and Prohibited Activities Practice Question 62

Question: 62

Under FINRA 4512, what information must a member firm maintain for a customer who is a natural person who is only purchasing mutual funds of the customer's choice?

A. Social Security number or tax identification

B. Occupation and employer's name and address

C. Whether the customer is a representative for another member firm

D. An alternative contact

SIE Understanding Trading, Customer Accounts and Prohibited Activities Practice Question 62

More Tests

Quick View

FINRA Practice Tests