Series 28: Receiving Firm

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

Definition of the term Receiving Firm...

the firm to which an account is transferred in the case of a customer moving from one brokerage firm to another.

Since you're reading about Series 28: Receiving Firm, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 28
Please Enable Javascript
to view this content!