Series 6 - Investment Company And Variable Contracts Products Representative Exam

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Brokerage firms are required to collect all of the following information about their customers EXCEPT:

Name
A
Driver's license
B
Whether the customer owns more than 5% of a company
C
Tax identification number
D

Explanations

Brokerage firms are required to know whether the customer owns more than 10% of a company, which would make the customer a corporate insider.

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