Business, 18.10.2019 21:30, gabbytumey
Which of the following are correct concerning customer background and financial information, according to options exchange rules?
(i)-financial information which the customer supplies must be sent for verification by the broker/dealer within 15 days after the account has been approved for options transactions.
(ii)-if the firm becomes aware of material changes concerning existing customers, a copy of background and financial information on file must be sent to the customer within 15 days after the firm becomes aware of the change.
(iii)this information must be sent to the customer by the firm for verification within 15 days after the account is approved for options transactions unless it is contained in the customer's account agreement.
(a) i only
(b) ii only
(c) iii only
(d) i, ii, and iii
Answers: 1
Other questions on the subject: Business
Business, 22.06.2019 20:40, kaylee0424
Financial performance is measured in many ways. requirements 1. explain the difference between lag and lead indicators. 2. the following is a list of financial measures. indicate whether each is a lag or lead indicator: a. income statement shows net income of $100,000 b. listing of next week's orders of $50,000 c. trend showing that average hits on the redesigned website are increasing at 5% per week d. price sheet from vendor reflecting that cost per pound of sugar for the next month is $2 e. contract signed last month with large retail store that guarantees a minimum shelf space for grandpa's overloaded chocolate cookies for the next year
Answers: 2
Business, 22.06.2019 22:40, gracebuffum
In a fixed-term, level-payment reverse mortgage, sometimes called a reverse annuity mortgage, or ram, a lender agrees to pay the homeowner a monthly payment, or annuity, and expects to be repaid from the homeowner’s equity when he or she sells the home or obtains other financing to pay off the ram. consider a household that owns a $150,000 home free and clear of mortgage debt. the ram lender agrees to a $100,000 ram for 10 years at 6 percent. assume payments are made annually, at the beginning of each year to the homeowner. calculate the annual payment on the ram.
Answers: 1
Business, 23.06.2019 02:30, yaxcalandreya
Tara and her parents want to save at least $40,000 for college in 8 years. which statement describes the most effective savings plan for tara and her parents to meet their goal? tara and her parents should make deposits of $300 every month into a college savings account. tara and her parents should make deposits of $450 every month into a college savings account. tara and her parents should make deposits of $3,000 every year into a college savings account. tara and her parents should make deposits of $4,000 every year into a college savings account
Answers: 1
Do you know the correct answer?
Which of the following are correct concerning customer background and financial information, accordi...
Questions in other subjects:
Mathematics, 08.04.2020 12:56
History, 08.04.2020 12:57
Mathematics, 08.04.2020 12:58
English, 08.04.2020 12:59
