Series 99: 2.1.4.1.1 Description Of Securities

Taken from our Series 99 Top-off Online Guide

2.1.4.1.1 Description of Securities

Confirmations or comparisons must include, in addition to an adequate description of the security, the price at which the transaction was made and any other information deemed necessary to ensure that the buyer and seller agree as to details of the transaction. Such other information should include the following language, if applicable, ex-warrants, ex-stock, registered, flat, part-redeemed, Canadian funds, and with proxy.

FINRA Rule 11220

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