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Ms. Newbie is a registered representative with Savvy Investments and has recently gotten married. (Her new name is Mrs. Newbie-Oldman.)Her husband has been a client of hers, and the couple now wants to put her name on the account. In this case:
Joan is a customer of GetErDone Broker-Dealers. Her twin sister, Jean, has accompanied her to GetErDone's office and has gathered some information regarding opening an account with the firm, giving it her contact information at the same time.
Under Regulation S-P, which of the following statements regarding GetErDone's handling of Joan's and Jean's personal information is true?
A broker-dealer is required to file a Currency Transaction Report with the Treasury Department for:
The Bank Secrecy Act (BSA) requires any financial institution to:
i. file a suspicious activity report (SAR) when a possible violation of a law is suspected.
ii. inform its customer that it is filing the SAR.
iii. provide any customer that is suspected of engaging in an illegal transaction the opportunity to explain himself prior to filing an SAR.
IV. obtain specified information on any party sending or receiving a wire transfer of $3,000 or more.
Which of the following persons is not permitted to open an investment account?
i. a general partnership
ii. a corporation
iii. the executor of an estate
IV. a 16-year-old entrepreneur