Newbie, a newly-minted registered representative with Savvy Investments, just had her first client walk through the door. Before she can do anything, Ms. Newbie must obtain which of the following pieces of information from her client?

Question

Quizplus · Accepted Answer

Before she can do anything, FINRA requires that she ensure that her client is of legal age. Ms. Newbie must also make a reasonable effort to determine occupation, TIN, and investment objectives, and if her client refuses, Ms. Newbie must document the fact that she made an effort to obtain this information.

Newbie, a Newly-Minted Registered Representative with Savvy Investments, Just Had