Series 6 - Investment Company And Variable Contracts Products Representative Exam
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When securities and registered in the broker-dealer's name and held by the broker-dealer, this is called:
Transfer and hold in safekeeping
A
Hold in street name
B
Hold in safekeeping
C
Proxy ownership
D
Explanations
Hold in street name is an example of payment and delivery instructions in which securities are registered in a broker-dealer's name and held by the broker-dealer.
Pricing
Basic
Part of the questions for each course
-
- Course
- Questions
-
- SIE
- 20 of 150
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- Series 6
- 30 of 500
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- Series 7
- 50 of 625