Series 3: 7.3.8.1. Customer Identification Program

Taken from our Series 3

7.3.8.1. Customer Identification Program

Every FCM and IB must adopt a written Customer Identification Program to assure it knows the true identification of its customers. For individual persons, it must identify name, address, date of birth, and social security number or tax identification number.

The firm must make a reasonable attempt to verify the identity of each new customer. This verification can be done with a current driver�

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