Unit 15: Handling Customer Accounts Flashcards
1
Q
Reg S-P
A
privacy standards to ensure security and confidentiality for customer data
2
Q
Reg S-P Privacy Notice given to the client when?
A
Account opening
Annually
3
Q
ACATS timeline
A
1 day to verify
once validated, 3 days to transfer
4
Q
Retail and institutional communications retention requirement…
A
3 years
5
Q
Reg D private placement records retention requirement…
A
3 years
6
Q
Customer complaints retention requirement…
A
4 years
7
Q
Blotter, ledger, securities record retention requirement…
A
6 years
