Register
An order ticket is filled out and sent to the New York Stock Exchange floor for execution. After being executed on the floor, it is discovered that the account number is incorrect. Under FINRA rules, the
215k views
5 votes
An order ticket is filled out and sent to the New York Stock Exchange floor for execution. After being executed on the floor, it is discovered that the account number is incorrect. Under FINRA rules, the order:___________.1. Registered representative2. Specialist(DMM)3. Branch office Manager4. Floor Governer

User Altug
by
5.4k points

1 Answer

2 votes

Answer:

the account number may be changed to the correct one by the 3) branch office manager.

Step-by-step explanation:

FINRA rules prohibit any alterations to order tickets. This can be done only if the alteration is approved by the designated person from the FINRA member company, in this case it should be the branch office manager. Only he/she can approve any alteration on the ticket order and is responsible for approving it.

User Mark Rucker
by
5.7k points
Ask a Question
Welcome to QAmmunity.org, where you can ask questions and receive answers from other members of our community.

5.8m questions

7.6m answers

Other Questions

_____ reminds customers and clients that they made a good choice in selecting a company with which to do business, or it reminds them of the good qualities of their purchase.​
On august 1 the darius co. purchased a photocopy machine for $8,000. the estimated annual depreciation on the machine is $1,680. if the company prepares annual financial statements on december 31, the
When president obama was elected, the u.s. economy was in trouble, and has slid into a recession. consumer spending was low and getting worse. in an effort to stop the decline, president obama proposed
The current market price for good y is above the equilibrium price, and then the price of a subsitute good, x, increases. the demand curve for good y shifts as a result. what is the likely outcome of the
Which of the following are financial assets traded in money markets? Treasure notes corporate bonds Treasury bills municipal bonds
Link Copied!