When a customer enters a sell order and the customer is in possession of the certificates, a broker/dealer must determine all of the following EXCEPT:

When a customer enters a sell order and the customer is in possession of the certificates, a broker/dealer must determine all of the following EXCEPT:



A) the location of the securities.

B) whether the client can make delivery promptly .

C) whether the transfer agent has accepted the securities.

D) whether the securities are in deliverable form.


Answer: C) whether the transfer agent has accepted the securities.


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