Podcast
Questions and Answers
Match the form to it's description.
Match the form to it's description.
Best Interest Form = Ensures recommendations align with the client's best interests. CIAA Form = May be used for updates of information. New Account Form = Used to gather all pertinent information to create a new account. Change of Agent Form = Used when the agent associated with the account has changed.
Match the following account forms with their descriptions:
Match the following account forms with their descriptions:
Traditional IRA = A retirement account that provides tax-deferred growth. ROTH IRA = A retirement account where contributions are made after tax, but earnings are tax-free. Spousal IRA = An IRA set up for a non-working spouse. Inherited IRA = An IRA that a beneficiary inherits.
Match the following account types required for every new account with their description.
Match the following account types required for every new account with their description.
Collateral Account = An account that holds assets used as collateral for a loan. Revocable Trust Fidelity = A trust account where the grantor retains the right to change or terminate the trust. Individual Brokerage Account = A brokerage account offered to allow investors to deposit money and use it to buy securities. Margin Account = A brokerage account in which the investor can deposit money to purchase stocks or bonds or mutual funds or ETF's.
Match the following:
Match the following:
Match the following terms to their descriptions:
Match the following terms to their descriptions:
Match the correct form to its purpose.
Match the correct form to its purpose.
Match the form type to it's corresponding description.
Match the form type to it's corresponding description.
Match the following IRA account types with their descriptions:
Match the following IRA account types with their descriptions:
Match the following account to it's description:
Match the following account to it's description:
Match the following Fidelity accounts to their specific descriptions:
Match the following Fidelity accounts to their specific descriptions:
Match the following form with its content
Match the following form with its content
Match the term to the description:
Match the term to the description:
Match the form required.
Match the form required.
Match the description to its corresponding form/agreement:
Match the description to its corresponding form/agreement:
Match the following account types:
Match the following account types:
Match each of the provided descriptions.
Match each of the provided descriptions.
Match each account type
Match each account type
Match the form type with it's description.
Match the form type with it's description.
Choose the correct description of form.
Choose the correct description of form.
Match each of the following accounts with their intended description.
Match each of the following accounts with their intended description.
Match the document descriptions below:
Match the document descriptions below:
Match each account form with its correct counterpart.
Match each account form with its correct counterpart.
Match the following account form descriptions
Match the following account form descriptions
Match each of the following account types with the details that most pertinently identify it.
Match each of the following account types with the details that most pertinently identify it.
Match the corresponding key distinctions for each of the following accounts.
Match the corresponding key distinctions for each of the following accounts.
Match the following Fidelity accounts to their corresponding details
Match the following Fidelity accounts to their corresponding details
Please match each of the following items.
Please match each of the following items.
Please match.
Please match.
Flashcards
Regal and Regulus Know Your Customer Requirements
Regal and Regulus Know Your Customer Requirements
Ensures compliance with KYC regulations when opening a new account.
Best Interest Form (CIAA Form)
Best Interest Form (CIAA Form)
Discloses if the recommended account aligns with the client's best interests.
Study Notes
- The following Regal Forms are required for every new account:
New Account Requirements:
- Regal and Regulus Know Your Customer Requirements
- Best Interest Form, CIAA Form
- New Account Form
- Rollover Analysis
- Financial Planning Agreement
- 401K Management Agreement
- Fidelity Brokerage Account (TODI)
- Fidelity JTWROS account
- Margin Account Fidelity
- Indiana 529 Account
- HSA Account
- TIAA Transfer Payout Annuity
- Change of AGENT form
- Change of REP Form
- TPFG Forms
- PCRA account Forms
- Traditional IRA Fidelity
- Traditional IRA TIAA
- Traditional IRA JNL
- ROTH IRA Fidelity
- ROTH IRA TIAA
- ROTH IRA Fidelity
- Beneficiary IRA Fidelity
- Spousal IRA Fidelity
- Spousal IRA TIAA
- Inherited IRA Fidelity
- Inherited IRA JNL
- Inherited IRA Schwab
- Collateral Accounts
- Signature Guarantee
- Medallion Guarantee
- Revocable Trust Fidelity
- Irrevocable Trust Fidelity
- SIMPLE IRA
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