8.1 Know Your Customer (KYC) and Customer Identification Program (CIP)

In this section

• Master Regulatory Requirements: FINRA Series 7 Quizzes
  Understand FINRA Series 7 exam regulatory requirements with interactive quizzes and sample questions focused on Patriot Act and KYC obligations.
• Master FINRA Series 7: Identity Verification Quizzes
  Learn about FINRA's Series 7 identity verification with sample exam questions and quizzes. Discover acceptable documents and non-documentary methods.
• Master Record Retention for FINRA Series 7 Success
  Explore FINRA Series 7 record retention with quizzes and sample exam questions. Understand retention periods and documentation requirements.
• Resolving Discrepancies: FINRA Series 7 with Quizzes
  Learn protocols to handle discrepancies in client information for FINRA Series 7. Practice with quizzes and sample exam questions on compliance.