Series 7 Exam Prep Good Delivery, Confirmations and Trading Errors Function 4, FINRA Content Outline
Автор: Series 7 Guru
Загружено: 2021-06-19
Просмотров: 8119
Описание:
Watch margin next • Series 7 Exam Prep Margin Explication of F...
TIME STAMPS:
1:34 CUSIP
1:49 Designated Market maker on the NYSE
3:23 Circuit breakers
3:55 Dealer/Principal transactions
4:30 Broker/Agency transactions
4:52 Quotations
5:45 Backing away
6:49 Limit order protection rules
10:01 OATS
11:04 TRACE
11:42 EMMA
13:05 Rules of good delivery
13:12 Stock or bond power
14:10 Mutilated certificate
15:11 Due bill
16:10 DVP/RVP
16:30 Book entry securities
17:01 Customer signatures
17:55 Bearer securities
18:29 Cum rights versus Ex rights
18:57 DK
20:12 Errors in report versus error in execution
21:26 Customer complaints
23:39 Amendments to U-4
Повторяем попытку...
Доступные форматы для скачивания:
Скачать видео
-
Информация по загрузке:
