Question
According to FINRA rules, which of the following are true about ACATs? I. When ACAT notices are received, firms have 1 business day to verify
According to FINRA rules, which of the following are true about ACATs? I. When ACAT notices are received, firms have 1 business day to verify the customer's instructions II. When ACAT notices are received, firms have 3 business days to verify the customer's instructions III. Assets must be transferred within 3 business days after verification IV. Assets must be transferred within 4 business days after verification
II & III | ||
I & III | ||
II & IV | ||
I & IV |
The Chinese Wall Doctrine was created because of the:
Sarbanes Oxley Act of 2002 | ||
The Securities Exchange Act of 1934 | ||
The Securities Amendments Act of 1975 | ||
The Insider Trading Enforcetnent Act of 1988 |
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