Series 53: Chapter 6: Uniform Practice And Recordkeeping

Taken from our Series 53 Online Guide

Chapter 6

Uniform Practice and Recordkeeping

(16 questions)

Before the National Association of Securities Dealers (NASD) came into being in 1939, the informal over-the-counter (OTC) market was difficult to track. The audit trail of OTC securities transactions frequently disappeared in a confusion of undocumented phon

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