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.

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I took this Series 28 today and passed on my first try! I think the practice exams helped a ton, though in general, I would say the actual test seemed (at least to me), more difficult than the practice exams. Either way, couldn't have done it without the Solomon Exam Prep.

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