Series 7 Exam Practice Test Explication on Shared Screen with Test Taker. Pause, Answer, Play.

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86 The delivery requirement for a confirmation of a customer transaction is at or before completion of a transaction. The completion of a transaction is the transaction's settlement date. With regular way settlement being T+2, the exception (the false statement) is within one business day of the transaction. SEC Rule 10b-10 lists all of the requirements for the contents of a customer confirmation including indicating the broker-dealer's status as a market maker if that is the case.

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Practice your test-taking skills, drill into specific topics, and test your knowledge with exam-focused questions. This interactive Kaplan QBank is updated on a regular basis and allows you to build personalized exams based on length and topic of your choice. It features unlimited exam attempts that are randomly generated. The Kaplan QBank also gives you the ability to:

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