Series 51: Exercise

Taken from our Series 51 Online Guide

Exercise

Fill in the blank.

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. Dealers may not be required to immediately provide a written confirmation to customers for transactions involving _____.

3. For transactions involving _____, the confirmation is not required to include information that cannot

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