Series 6

AAA

Customer Accounts - Introduction

At the most basic level, the customer account serves as a place where the owner holds cash and securities; it is also a record of all customer investment activity. The type of account the customer owns will be determined by his or her investment objectives, level of trading authority, and personal or professional requirements, because each account type has its own recordkeeping needs and functions. Moreover, proper compliance with securities industry rules begins with the collection and documentation of customer information when a new account is opened.



Opening a New Account
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