Ch 3: Disclosing Financial Account Types & Restrictions

About This Chapter

Bolster your knowledge of disclosing financial account types and restrictions, including requirements for opening customer investment accounts and FINRA Rule 4514. These lessons and self-assessment quizzes are a great resource to use when preparing for an exam.

Disclosing Financial Account Types & Restrictions - Chapter Summary

As you go through these lessons on disclosing financial account types and restrictions, you'll get clarity on what's required for adherence to FINRA Rule 4515. There's also information about FINRA Rule 4512 concerning customer account information that must be retained. By the end of the chapter, you should be able to:

  • List characteristics of securities accounts
  • Describe investment account registration types
  • Recall what's required to open a customer investment account
  • Discuss wealth events and investment account registrations
  • Explain how FINRA Rule 4514 is applied
  • Give an example of an account designation change

The fun teaching methods employed by our instructors make it easy to grasp concepts related to disclosing financial account types and restrictions. You'll also appreciate the brief lesson quizzes that measure your comprehension of the topics covered. Our online learning platform offers many other convenient features, including the ability to print the lessons as offline study worksheets.

Chapter Practice Exam
Test your knowledge of this chapter with a 30 question practice chapter exam.
Not Taken
Practice Final Exam
Test your knowledge of the entire course with a 50 question practice final exam.
Not Taken

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