FINRA CONTENT OUTLINE FOR SERIES 6 INCLUDES CUSTOMER SCREENING AND CUSTOMER IDENTIFICATION PROGRAM

Plan on taking the Series 6 exam? If so, make sure that you study and know the rules on customer screening and the customer identification program.

FINRA's Content Outline requires knowledge of customer screening and the customer identification program in Section 2.2.

Bob Eder presents a detailed treatment of customer screening in his Series 6 manual, Study for the Series 6 Exam, on pages 91-94. Here is a sample of Bob Eder's discussion:

"Customer Identification Program (CIP) (2.2)

As required by the USA Patriot Act, the SEC and the U.S. Treasury have adopted rules requiring that broker/dealers establish and operate a "customer identification program," or CIP.

"Verification of Customer Information (2.2)

A broker/dealer must verify the accuracy of the information given by the customer. This can be done in one of two ways: either by checking documents or by non-documentary means."

Here is the link to FINRA's Content Outline for the Series 6 exam. See the references to customer screening and the Customer Identification Program (C.I.P.) in FINRA's Content Outline, Section 2.2.

Study for the Series 6 Exam is available from Amazon in both paperback and Kindle e-book versions. Here is the link to Bob Eder's Series 6 Exam study manual on Amazon.

See Bob Eder's Author Page on Amazon.com.

For questions about Bob Eder's Series 6 manual, Study for the Series 6 Exam, or questions in general about the Series 6 exam, such as the Customer Identification Program (C.I.P.), feel free to email Bob Eder at bobeder@bobeder.net.

Bob Eder received his Juris Doctor (J.D.) degree from the University of Utah, Quinney College of Law, in 2001. 


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