Series 26: Know Your Customer

Taken from our Series 26 Online Guide

Know Your Customer

With regard to the opening and maintaining of customer accounts, FINRA requires its broker-dealers to apply reasonable diligence in finding and retaining the essential facts concerning each of its customers, as well as the authority of any person who is acting on the customer’s behalf.

For FINRA, essential facts means those required to:

• Effectively service the customer’s account
•&#

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