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FINRA Series 7

Category - Series 7

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How many days after the settlement date must a broker/dealer “buy in” a customer who has failed to deliver securities?

10 days
15 days
30 days
45 days

Explanation

Answer: A - 10 days. The customer has 10 days to deliver before the broker will buy in the account.

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FINRA Series 7

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FINRA Series 7

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