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Ch 15: Updating Investment Customers & Retaining Customer Records

About This Chapter

Enjoy the process of learning about FINRA Rule 2232, investment advisor records requirements, and other related topics. The short lessons in this chapter on updating investment customers and retaining customer records can enhance your professional skills or help you prepare for an exam.

Updating Investment Customers & Retaining Customer Records - Chapter Summary

In this chapter on updating investment customers and retaining customer records, you'll study rules for investment advisors related to account statements and holding customer mail. As you make your way through the chapter, you'll get clarification on SEC Rule 10b-10 regarding confirmation of transactions. After reviewing the lessons, you should be ready to:

  • Discuss communicating with investment customers about profits and losses
  • Explain how FINRA Rule 2232 relates to disclosure of a trade mark down
  • Provide an overview of FINRA 2273 as it relates to customer account transfers
  • Detail what FINRA Rule 11870 and MSRB Rule G-15 govern
  • Outline records requirements for investments advisors
  • Describe procedures for closing an investment account

These lessons on updating investment customers and retaining customer records are proof that studying can be fun and easy. If you get stuck on a topic, you can use the Help feature to submit questions to experts. There are also short quizzes available to test your knowledge of each lesson, which is a great way to make sure you understand the topics in advance.

Chapter Practice Exam
Test your knowledge of this chapter with a 30 question practice chapter exam.
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Practice Final Exam
Test your knowledge of the entire course with a 50 question practice final exam.
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