Series 51: Exercise

Exercise

Fill in the blank

1. 1. A confirmation for securities that have a _____ or other charge imposed upon redemption should disclose to the customer that they may be required to make such a payment.
2. 2. Dealers may not be required to immediately provide a written confirmation to customers for transactions involving _____.
3. 3. For transactions involving _____, the confirmation is not required to include information that cannot be confirmed, because it is not yet known, such as the settlement date.
4. 4. If a