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Free Exam: Trade Flow

Number of Questions in Test: 10
Number of Questions in Preview: 5
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Question 1

The Transfer Agent records changes in the ownership of stocks and bonds

Type: True/False
Points: 1

Question 2

After a trade is settled, the pre-trade process begins

Type: True/False
Points: 1

Question 3

The Sub-custodian is not required to be registered with the stock exchange of the market where the counter-party exists

Type: True/False
Points: 1

Question 4

What does the broker send after receiving confirmation of the trade from the Counter-party via the exchange?

Type: Multiple choice
Points: 1
Randomize answers: No

Question 5

At what point during the trade flow, does the NTGI start it's reconciliation?

Type: Multiple choice
Points: 1
Randomize answers: No

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