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FINRA Series 63 (NASAA)

Category - Series 63

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Which of the following would not appear on an order ticket?

the stock symbol
the account number of the client buying or selling the security
the settlement date
the agent’s commission

Explanation

Answer: D - The agent’s commission does not appear on an order ticket. It does appear on the trade confirmation, however, which the client receives.

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FINRA Series 63 (NASAA)

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FINRA Series 63 (NASAA)

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