Series 7: Chapter Fourteen: Customer Accounts

Taken from our Series 7 Top-off Online Guide

Chapter Fourteen

Customer Accounts

Among the major functions of a brokerage operation are opening and maintaining customer accounts, handling the movement and transfer of securities, tracking regulatory compliance for margin accounts, and distributing dividends. In this chapter, we describe the many types of accounts that a member firm manages, and we examine the rules that govern these operations.

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Natasha Trilli, Ocean Park. Houston, TX

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