Customer AccountsCâu 75 / 110
Which document must a broker-dealer obtain before opening a corporate cash account?
a.A corporate resolution identifying who is authorized to trade on the corporation's behalf
b.A copy of the corporation's most recent audited financial statements
c.The personal guarantee of each officer
d.A prospectus for the corporation's own securities
Giải thích
The corporate resolution establishes the entity's authority to open the account and names the individuals empowered to act. Financial statements may be requested in other contexts but are not a prerequisite for a cash account. Officers do not personally guarantee a corporate account, and the corporation's own offering documents are irrelevant.
Luyện miễn phí toàn bộ 110 câu hỏi — không cần đăng ký.
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