Series 53: Retransmittal Notice

Taken from our Series 53 - MSRB Municipal Securities Principal Qualification Exam

Definition of the term Retransmittal Notice...

documentation that must be sent by a seller that has not delivered securities to a buyer because the third party that owns those securities has failed to transmit them to the seller. Once the seller receives a notice of close-out from the buyer, it has one day to send the retransmittal notice to the third-party owner to prevent termination of the sale.

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