Series 7 Exam Practice Test Explication on Shared Screen with Test Taker. Pause, Answer, Play.

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86 The delivery requirement for a confirmation of a customer transaction is at or before completion of a transaction. The completion of a transaction is the transaction's settlement date. With regular way settlement being T+2, the exception (the false statement) is within one business day of the transaction. SEC Rule 10b-10 lists all of the requirements for the contents of a customer confirmation including indicating the broker-dealer's status as a market maker if that is the case.

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