RegulationsCâu 67 / 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
Giải thích
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.
Trích dẫn luật: USA PATRIOT ActLuyện miễn phí toàn bộ 110 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- A retail communication concerning a registered investment company that includes fund performance generally must be filed with FINRA:
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