Series 28: Exercise

Taken from our Series 28 Online Guide

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Exercise

Fill in the blank

1. In a customer account transfer, the carrying party has _____ to validate and return the transfer instruction to the receiving party or to take exception to it.
2. A _____ is an issue in default or a security that may only be held by specified broker-dealers and the receiving party isn’t one of them.
3. Within _____ following the validation of a transfer instruction, the carrying party must com

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