Ch 5: Obtaining Basic Customer Information & Documentation

About This Chapter

These bite-size lessons on obtaining basic customer information and documentation can help you prepare for an exam with ease. You can optimize your knowledge of investment account authorizations, suitability in security industries, rules for customer screening, and more.

Obtaining Basic Customer Information & Documentation - Chapter Summary

This chapter offers interesting lessons of obtaining basic customer information and documentation. For example, you can get a refresher on privacy disclosures required in the securities industry. Experts teach you about corporate resolutions, trust documents, and more. After completing the chapter, you should be prepared to:

  • Discuss rules of customer screening in securities industries
  • Recall general suitability requirements
  • Outline FINRA's Know Your Customer Rule
  • Provide an overview of privacy regulations and information security
  • Describe account authorizations for investments
  • Explain what NASD Rule 2510 is about

In a short amount of time, these lessons can help you grasp concepts related to obtaining basic customer information and documentation. Our professional instructors provide plenty of helpful illustrations. To take the stress out of studying and ensure you understand the concepts studied, a brief quiz is available for each lesson. You can even print the quizzes to study offline.

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

Earning College Credit

Did you know… We have over 220 college courses that prepare you to earn credit by exam that is accepted by over 1,500 colleges and universities. You can test out of the first two years of college and save thousands off your degree. Anyone can earn credit-by-exam regardless of age or education level.

To learn more, visit our Earning Credit Page

Transferring credit to the school of your choice

Not sure what college you want to attend yet? has thousands of articles about every imaginable degree, area of study and career path that can help you find the school that's right for you.