RegulationsPregunta 67 de 110
A firm's customer identification program must, at a minimum, collect which information from a new individual customer?
a.Employer name, annual income, net worth, and investment experience
b.Credit score, marital status, and number of dependents
c.Name, date of birth, physical address, and taxpayer identification number
d.Passport number and two professional references
Explicación
The customer identification program requires name, date of birth, a street address, and a government identification number so the firm can form a reasonable belief that it knows the customer's identity. Financial profile items such as income and net worth are gathered for suitability purposes, not identity verification. Credit scores and references are not CIP elements.
Referencia Legal: USA PATRIOT ActPractica las 110 preguntas gratis — sin registro.
Preguntas relacionadas de este tema
- A retail communication concerning a registered investment company that includes fund performance generally must be filed with FINRA:
- Which practice is permitted when presenting mutual fund performance in a retail communication?
- A firm wants to include a customer testimonial in a retail communication. Which requirement applies?
- A customer deposits $12,000 in cash in a single business day. The firm must file:
- When a firm files a Suspicious Activity Report on a customer's transactions, the firm:
- Before opening an account, a firm must check the prospective customer's name against the list of Specially Designated Nationals maintained by:
Última revisión: · proceso editorial
Equipo Editorial de PrepPass · Verificado con FINRA Series 6 — Investment Company & Variable Contracts Rep · Cómo revisamos