Practice Quiz

FINRA Series 6

Category - Series 6

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Ms. Newbie, a newly-minted registered representative with Savvy Investments, just had her first client walk through the door. The new account form that the client receives a copy of must contain the signatures of:

I. the client.
II. Ms. Newbie.
III. Ms. Newbie’s branch manager/supervisor.
  1. I only
  2. I and II only
  3. II and III only
  4. I, II, and III
Explanation
Answer: C - The new account form that Ms. Newbie’s client will receive must contain the signatures of both Ms. Newbie and her branch manager/supervisor. The signature of the client is not a requirement.
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