Series 7 Exam Prep Good Delivery, Confirmations and Trading Errors Function 4, FINRA Content Outline

Watch margin next    • Series 7 Exam Prep Margin Explication of F...   TIME STAMPS: 1:34 CUSIP 1:49 Designated Market maker on the NYSE 3:23 Circuit breakers 3:55 Dealer/Principal transactions 4:30 Broker/Agency transactions 4:52 Quotations 5:45 Backing away 6:49 Limit order protection rules 10:01 OATS 11:04 TRACE 11:42 EMMA 13:05 Rules of good delivery 13:12 Stock or bond power 14:10 Mutilated certificate 15:11 Due bill 16:10 DVP/RVP 16:30 Book entry securities 17:01 Customer signatures 17:55 Bearer securities 18:29 Cum rights versus Ex rights 18:57 DK 20:12 Errors in report versus error in execution 21:26 Customer complaints 23:39 Amendments to U-4