Social Studies, 30.03.2020 18:57 risarod6106

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 account number may be changed to the correct one by the:

Answers: 3

Show answers

Answers

Answer from: tangia

Branch office manager

Explanation:

According to FINRA rules and regulations, any error or alterations to an order tickets are highly prohibited. Such alterations should be directed (in writing) to a designated person which is the Branch Office Manager.

The branch office manager must be informed about the reasons those alterations were made. Also, the branch office manager could approve of such alterations and be accountable for the change.

The Branch office manager will conduct a thorough assessment to understand the facts surrounding the alterations before issuing an approval.

Answer from: Olive9397

The options are given below:

A. Floor governor

B. Branch office manager

C. Registered rep

D. Specialist

The correct option is B. Branch office manager

Explanation:

The FINRA rules and regulations stipulate that errors or alterations to order tickets are highly prohibited and therefore, such errors should be formally directed to the designated person which is the Branch Office Manager. This is usually done in writing.

According to the rules, the branch office manager must be duly informed about the reason(s) for the errors.

It is the duty of the branch office manager to carry out a through assessment to verify the reasons why the alterations were made. The result of this assessment will prompt the branch office manager to either approve or reject the alterations that have been made to the order ticket, but he/she will be held liable for the change.

Answer from: Quest

answer; /// i do believe that the correct answer is (d) cooperative play; /// good luck

Answer from: Quest

ya i know i wanna was a good night i wanna was a good night i love y’all bye is your address again call tomorrow morning i love ya bye hi hi i’m going crazy about going to the school and i don’t know if y’all want me or not going tomorrow and i’ll tell you what i’m doing and i’ll y’all with this i’m gonna was a really bad thing to say i don’t think i can but i’ll give ya my friend tomorrow night i love you and y’all so i don’t have a lot to say about you haha is this what time you should be home and i’ll give ya my number so i’m sorry i’ll call y’all bye love ya hey

Another question on Social Studies

Social Studies, 21.06.2019 20:40

Excessive bail shall not be required, nor excessive fines imposed, nor cruel and unusual punishments inflicted. which of the following possible court cases could legitimately be argued under the terms of the quote above? a person says that bail for a suspect in a serious federal crime is too low. a person claims that charging court fees is an unconstitutional policy. a person complains that a sentence is too long for the crime. a person argues that jails and prisons are inhumane.

Answers: 2

Answer

Social Studies, 22.06.2019 13:00

Which best describes california population when it became a state in 1850? a.because of the gold rush attracting settlers all over the world california population diverse.bcalifornia had banned foreign immigrants at the start of the gold rush.so,the states population was made up of entirely of americans from other parts of the country.c california had a large african population because many southern planters had moved their enslaved africans to start large farms.d the indian removal act had led to the relocation of thousands of eastern native americans to california.as,a result the majority of californias population was native american

Answers: 3

Answer

Social Studies, 22.06.2019 23:20

How long was it from the time african american men were given the right to vote until women were given the right to vote?

Answers: 1

Answer

Social Studies, 23.06.2019 07:30

Roger and natalie travel in similar cars. roger's car drives the two miles to school in 7.5 minutes. natalie drives the same distance in the opposite direction but in only 6.5 minutes. what is true of their velocities? it's b

Answers: 1

Answer

You know the right answer?

An order ticket is filled out and sent to the New York Stock Exchange floor for execution. After bei...

Questions