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.
Free info on financial certification exams including study guides, exam questions, and much more!
The correct answer is d) When the specialist gave the floor broker the quote of “59.20 to 35; 6 by 11,” the quote meant ...
The correct answer is c When the firm is a market maker in the stock then it must act as a principle. Principal is the main ...
The correct answer is c). Early withdrawal from a non-qualified annuity--prior to age 59½, except for death or disability, ...
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 ...