Browse Series 6 Exam Prep
6.2 Account Opening Procedures
In this section
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New Account Form Requirements
Master the essentials of New Account Form Requirements for the Series 6 Exam. Learn about the critical information needed to open a new client account, including KYC, AML, and suitability obligations, with practical examples and regulatory insights.
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Customer Identification Program (CIP) - Essential Guide for Series 6 Exam
Master the Customer Identification Program (CIP) requirements for the Series 6 Exam. Understand the USA PATRIOT Act, identity verification, recordkeeping, and confidentiality in securities account management.
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Beneficial Ownership and Control Persons
Understand the critical requirements for identifying beneficial owners and control persons in legal entity accounts, emphasizing their role in AML compliance and preventing illicit activities.
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