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Member FINRA SIPC CUSTOMER AGREEMENT This Customer Agreement (this Agreement) is entered into by CU Investment Solutions LLC., a Kansas corporation (ISI), as of the (Credit Union) and day of, 2013.
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What is member finra sipc customer?
Member FINRA SIPC customer refers to a customer account protected by the Securities Investor Protection Corporation (SIPC) for brokerage firms that are members of the Financial Industry Regulatory Authority (FINRA).
Who is required to file member finra sipc customer?
Brokerage firms that are members of FINRA are required to file member FINRA SIPC customer.
How to fill out member finra sipc customer?
To fill out member FINRA SIPC customer, brokerage firms need to report the required information of each customer account as per the guidelines provided by FINRA and SIPC.
What is the purpose of member finra sipc customer?
The purpose of member FINRA SIPC customer is to ensure that customer accounts are protected in case of brokerage firm insolvency or failure.
What information must be reported on member finra sipc customer?
Information such as customer account details, holdings, transactions, and balances must be reported on member FINRA SIPC customer.
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