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SIE Mastery IV Flashcards | StudBud
SIE Mastery IV
1 / 34
A brokerage firm is permitted to hold fully paid customer securities if the
A
brkrge firm segregates those positions from margin &places them safekeeping
B
Cstmer identifies in writing specific scrties that wishes brkrge firm hold
C
Brkrge firm sends the customer a written receipt for securities being held
D
Customer gives a full poa to the brokerage firm and signs a rehypothecation
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