Review Topics
Practice Exams
Don't go to your exam hungry. I recommend grass and berries, but you might want your brain food to be a little more substantial.

Types of Brokerage Accounts Drill

  • 1.

    John, a citizen of Belgium, has relocated to the United States and wants to establish a brokerage account. He is in the United States on a work visa, which may lead to an indefinite stay. Can he open the account?

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    We'll give you the first and last question on this exam. So you know we actually did the whole thing.


  • 3.

    Two unrelated parties set up a joint account. To whom must the brokerage send periodic account statements?

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