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Question # 26

When must clients receive privacy notices under Regulation S-P?

Options:

A.

At account opening and annually thereafter

B.

Only at account opening

C.

Only if requested

D.

Only if account is closed

Viewing question 26 out of 63 questions
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Series 9/10 License Overview

Name Series 9/10 License
Code Series 9/10 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 9/10 License Questions