SIE - Securities Industry Essentials Exam
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Which of the following are broker-dealers required to do, per the USA Patriot Act?
Keeping records of customer identification information.
A
Verifying the identity of all new customers.
B
Verifying that a customer is not on a list of any known terrorists.
C
All of the above.
D
Explanations
All of the above are required per the USA Patriot Act.