Series 99: 2.1.1.6.1 Non-Trade Confirmations And Third-Party Activity Notices

Taken from our Series 99 Top-off Online Guide

2.1.1.6.1  Non-Trade Confirmations and Third-Party Activity Notices

Sometimes activity occurs in a brokerage account that is not connected with a securities transaction. Cash may flow into or out of the account in response to the account holder’s busines

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