The delivery of which of the following to a broker/dealer would be considered a fail to deliver?

The delivery of which of the following to a broker/dealer would be considered a fail to deliver?


A mutilated certificate.

A municipal bond without the legal opinion attached.

A bond trading ex-legal without a legal opinion attached.

Certificates delivered in par value denominations totaling the amount of the transaction.



A) III and IV.

B) I and II.

C) I and III.

D) II and III.



Answer: B) I and II.


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