Newbie, a newly-minted registered representative with Savvy Investments, just had her first client walk through the door. The new account form that the client receives a copy of must contain the signatures of:
I. the client.
II. Ms. Newbie.
III. Ms. Newbie's branch manager/supervisor.

Question

Quizplus · Accepted Answer

The new account form that Ms. Newbie's client will receive must contain the signatures of both Ms. Newbie and her branch manager/supervisor. The signature of the client is not a requirement.

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