Series 28: Stock Record

Taken from our Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

Definition of the term Stock Record...

a record that gives information on the owner and physical location of every stock held by the firm. It also includes the position (long or short) that each customer and the firm holds in a security.

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Nikita Brown, BMI. Atlanta, GA

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Gayle Espinosa. Los Angeles, CA

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