RegulationsCâu 68 / 110
Before opening an account, a firm must check the prospective customer's name against the list of Specially Designated Nationals maintained by:
a.FINRA's Central Registration Depository
b.The Municipal Securities Rulemaking Board
c.The Securities Investor Protection Corporation
d.The Office of Foreign Assets Control
Giải thích
OFAC publishes the Specially Designated Nationals list, and firms are prohibited from doing business with parties named on it. The CRD holds registration records for individuals and firms, the MSRB writes municipal rules, and SIPC provides limited account protection if a broker-dealer fails. None of those three maintains sanctions lists.
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:
- 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:
- A firm's customer identification program must, at a minimum, collect which information from a new individual customer?
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