of the following signatures are required on a client’s
new account form?
I. The client’s
II. The client’s spouse
III. The registered representative
IV. The principal
B) III, IV
C) I, III, IV
D) I, II, III, IV
The correct answer is B.
While local practices of a broker-dealer might require the client to sign the form, even when opening a cash account, the rules do not require this. Only the RR and the supervising principal are required, according to rules, to sign the form.
The correct answer is: a) (I) is incorrect because results that cover a period of less than a year must "not" be annualized. ...
The correct answer is b. Forward pricing is the SEC Rule that requires all transactions in open-end investment company shares ...
The correct answer is: a) The proper course of action would simply be to place Universal Airlines on a restricted list until ...
The correct answer is c. Current yield compares the current price of acquiring the stock to the income from the stock, the ...
A examination to ensure a candidate is qualified to become a ...
A person who prepares investigative reports on equity securities. ...
An exam required for individuals seeking to engage in off-exchange ...
One who provides financial advice or guidance to customers for ...
An exam offered by the Financial Industry Regulatory Authority ...
An exam given by the Financial Industry Regulatory Authority ...