Accounts & Customers第 70 / 125 题
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
解析
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.
免费刷完整 125 道题库 — 无需注册。
同考点相关题目
- A 401(k) plan is a type of:
- Under Regulation Best Interest (Reg BI), when a broker-dealer makes a recommendation to a retail customer, it must:
- When determining whether a recommendation is suitable, a registered representative must consider the customer's:
- A tenants in common (TIC) account differs from JTWROS because in a TIC account:
- A customer buys stock in a cash account for $10,000 with the intent to pay for it by selling the same securities before paying. This practice is known as and prohibited as:
- A Coverdell Education Savings Account (ESA) is designed primarily to: