Series 27: Notice And Certification Requirements

Taken from our Series 27 Online Guide

Notice and Certification Requirements

No broker-dealer may hypothecate any security carried for a customer’s account unless it gives prior written notice to the creditor (e.g., the bank giving the loan) that the pledged security is carried for a customer’s account in co

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Series 27: Notice And Certification Requirements

Taken from our Series 27 Online Guide

Notice and Certification Requirements

Since you're reading about Series 27: Notice And Certification Requirements, you might also be interested in:

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