Series 6 - Investment Company And Variable Contracts Products Representative Exam

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As part of its CIP, before opening a new account, a broker-dealer must collect at a minimum all of the following EXCEPT:

Customer date of birth
A
Customer address
B
Customer Tax ID number
C
Customer beneficiary form
D
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Explanations

A broker-dealer is not required to obtain a new customer's beneficiary designation before opening an account on behalf of the customer.

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