ExamTopics Logo
Mail Us[email protected]
Menu
Finra Discussions
exam questions

Exam Series 6 All Questions

View all questions & answers for the Series 6 exam
Go to Exam

Exam Series 6 topic 1 question 308 discussion

Actual exam question from FINRA's Series 6
Question #: 308
Topic #: 1
[All Series 6 Questions]

Ms. Newbie, a newly-minted registered representative with Savvy Investments, just had her first client walk through the door. The new account form that the client receives a copy of must contain the signatures of:
I. the client.
II. Ms. Newbie.
III. Ms. Newbies branch manager/supervisor.

  • A. I only
  • B. I and II only
  • C. II and III only
  • D. I, II, and III
Show Suggested Answer Hide Answer
Suggested Answer: C 🗳️
The new account form that Ms. Newbies client will receive must contain the signatures of both Ms. Newbie and her branch manager/supervisor. The signature of the client is not a requirement.
by lolojepu at April 6, 2025, 1:33 a.m.

Comments

Chosen Answer:
This is a voting comment (?). It is better to Upvote an existing comment if you don't have anything to add.
Switch to a voting comment New
Submit Cancel
Currently there are no comments in this discussion, be the first to comment!
Community vote distribution
A (35%)
C (25%)
B (20%)
Other
Most Voted
A voting comment increases the vote count for the chosen answer by one.

Upvoting a comment with a selected answer will also increase the vote count towards that answer by one. So if you see a comment that you already agree with, you can upvote it instead of posting a new comment.

SaveCancel
exam
Someone Bought Contributor Access for:
SY0-701
London, 1 minute ago