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Kaplan Series 7 > Opening Account Requirements (Small Manual) > Flashcards

Opening Account Requirements (Small Manual) Flashcards

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Series 7 Top-off Exam flashcards
1
Q

Municipal Securities Rulemaking Board (MSRB)

A

Written notification required to open account and requires duplicate confirm.

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2
Q

Financial Industry Regulatory Authority (FINRA)

A

Written notification required to open account and duplicate confirm upon request.

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Kaplan Series 7 (9 decks)

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