Accounts & CustomersCâu 70 / 125
Before a customer may trade options, the firm must:
a.Only collect a signed margin agreement
b.Wait until after the first trade to send disclosures
c.Guarantee the customer against loss
d.Obtain approval from a designated options principal and deliver the options disclosure document (ODD) at or before account approval
Giải thích
Opening an options account requires that a Registered Options Principal approve the account based on the customer's suitability information, and the firm must furnish the options disclosure document (the ODD) at or before approval. The customer must also return a signed options agreement, generally within 15 days of approval.
Luyện miễn phí toàn bộ 125 câu hỏi — không cần đăng ký.
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