Giao dịch, Tài khoản & Hành vi cấmCâu 252 / 398
What is the purpose of the Automated Customer Account Transfer Service (ACATS)?
a.To transfer a customer's account positions from one broker-dealer to another
b.To automatically execute stock trades on an exchange
c.To calculate a customer's margin requirement each night
d.To register new securities with the SEC
Giải thích
ACATS standardizes and automates the transfer of customer account assets between firms. Under FINRA rules, the carrying firm must generally validate or take exception to a transfer request within one business day and complete a validated transfer within about three business days.
Trích dẫn luật: FINRA Rule 11870Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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