caylah6101
29.02.2020 •
Business
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 order:.1. Registered representative2. Specialist(DMM)3. Branch office Manager4. Floor Governer
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Ответ:
the account number may be changed to the correct one by the 3) branch office manager.
Explanation:
FINRA rules prohibit any alterations to order tickets. This can be done only if the alteration is approved by the designated person from the FINRA member company, in this case it should be the branch office manager. Only he/she can approve any alteration on the ticket order and is responsible for approving it.
Ответ:
Explanation:
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