Series 28: Block Trade

Taken from our Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

Definition of the term Block Trade...

for NMS securities, a trade of at least 10,000 shares or a quantity of stock having a value of $200,000 or more (whichever is less). For OTC securities, a trade of at least 10,000 shares and a quantity of stock having a value of $100,000 or more.

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