Series 52: 9.2.4.2. Physical Delivery And Payment

Taken from our Series 52 Online Guide

9.2.4.2. Physical Delivery and Payment

Today paper securities are rarely delivered to a customer. But when they are, these rules must be followed.

The securities must be delivered to the office of the purchaser or its designated agent. Along with the securities, the seller must leave a delivery ticket containing the confirmation information and a second copy of the delivery ticket for use in acknowledging the securities’ receipt.

Delivered securities must be identical to the information on the confirmation ticket in every way.

Physical certificates must be in good condition. Bearer bonds must be delivered in denominations of $1,000 or $5,000 par value. The deli

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