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QUESTION 46 All broker-dealers need to maintain customer identification programs and should check the names of all new clients against a do not call list

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QUESTION 46 All broker-dealers need to maintain customer identification programs and should check the names of all new clients against a do not call list maintained by the firm O a list of specially designated nationals (SONS) maintained by OFAC a list maintained by the SEC @ a list compiled by FINRA QUESTION 47 A customer buys 1 DUD jun 55 put at 450 when DUD is trading at 53.40. Just prior to expiration, the option is trading at 4.55 bidos asked if the customer closes his position with a market order, what is the gain or loss? 5160 gain 55 gan 55 loss 5160 low

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