Series 28: Stock Record

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

Definition of the term Stock Record...

a record that gives information on the owner and physical location of every stock held by the firm. It also includes the position (long or short) that each customer and the firm holds in a security.

Since you're reading about Series 28: Stock Record, you might also be interested in:

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