SIE Exam Question 524: Answer and Explanation

Question: 524

A FINRA member has failed to receive a stock certificate in good form from the selling FINRA firm. Which FINRA bylaw defines good delivery?

  • A. Code of Procedure.
  • B. Rules of Fair Practice.
  • C. Uniform Practice Code.
  • D. Code of Arbitration.

Correct Answer: C

Explanation:

C: The Uniform Practice Code regulates the way members conduct business with other members.

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