Series 6 - Investment Company And Variable Contracts Products Representative Exam

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Which federal regulation requires broker-dealers to verify the identity of any new customer?

Customer Information Program Act
A
USA PATRIOT Act
B
The Investment Company of 1940 Act
C
The Securities Act of 1933
D

Explanations

The USA PATRIOT Act requires broker-dealers to institute a customer identification program to verify the identity of any new customers.

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