Giao dịch, Tài khoản & Hành vi cấmCâu 247 / 398
For a typical new cash account for an individual, whose signature is generally NOT required on the new account form itself?
a.The registered representative who introduced the account
b.A principal of the firm approving the account
c.The customer opening the account
d.The supervising branch manager where required
Giải thích
A customer signature is generally not required to open a standard cash account, though it is required for margin accounts and options accounts. The account form must, however, be approved (signed) by a principal, and it records the representative who opened it.
Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- Which of the following is a defining feature of a traditional 401(k) plan?
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- FINRA's Know Your Customer rule requires a firm to use reasonable diligence to know the essential facts about every customer. The 'essential facts' are primarily those needed to do what?
- Before a registered representative may exercise discretion in a customer's account, what is generally required?
- A customer calls and says: 'Buy 500 shares of XYZ for me today, but you pick the best time and price.' The representative has no written discretionary authority. Is this order permissible?
- What is the primary difference between a cash account and a margin account?
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