Series 28: Periodic Plan

Taken from our Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

Definition of the term Periodic Plan...

any written authorization allowing a broker to act as a customer's agent to purchase or sell specific securities in specific amounts and at specific time intervals, and that stipulates the commissions or charges the customer will pay.

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Nikita Brown, BMI. Atlanta, GA

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