Giao dịch, Tài khoản & Hành vi cấmCâu 229 / 398
Under SEC rules, when must a broker-dealer send a customer a written confirmation of a securities transaction?
a.Within 30 days of the trade
b.Only upon the customer's request
c.At or before completion of the transaction (generally by settlement)
d.Only at the end of the calendar year
Giải thích
SEC Rule 10b-10 requires a broker-dealer to send a trade confirmation at or before completion of the transaction, which is generally the settlement date. The confirmation discloses key details such as price, capacity (agency or principal), and any commission or markup.
Trích dẫn luật: Securities Exchange Act of 1934Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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