Business, 03.06.2021 23:30 snikergrace
When completing a new account form, you discover that the customer is an accounting supervisor at another FINRA member firm. Under FINRA rules, all of the following procedures are required EXCEPT: A Prior to opening the account, written approval of the employing member must be obtained B The associated person opening the account must give written notice to the executing member of his or her association with the employer member C Duplicate confirmations and statements must be sent to the employer member on request D Annual account summaries of all activity must be sent to the employer member
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