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Question # 38

When must firms verify the identity of beneficial owners of legal entity customers under FinCEN rules?

Options:

A.

At account closing

B.

At account opening

C.

Only if suspicious activity arises

D.

After first trade

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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