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Question # 28

If a customer refuses to provide a Social Security Number, the firm must:

Options:

A.

Open the account without restrictions

B.

Refuse account opening under CIP rules

C.

Allow unsolicited trades

D.

Require verbal confirmation only

Viewing question 28 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