Customer Accounts第 92 / 110 题
A firm must send the customer a copy of the account record for verification of the customer's investment profile information:
a.Only when the customer requests it
b.Every 12 months without exception
c.Only when the account is closed
d.Within 30 days of opening the account and at least once every 36 months thereafter
解析
SEC books and records rules require an initial verification copy within 30 days of account opening and a refresh at least every 36 months so the profile stays current. The firm must also update records when it learns of a material change, such as a new address or a change in objectives. Waiting for a customer request or for account closing would leave stale information in place.
法律依据: Securities Exchange Act of 1934免费刷完整 110 道题库 — 无需注册。
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