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SIE Exam Dumps - Securities Industry Essentials Exam (SIE)

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Question # 25

A confirmation indicates a 100-share purchase of Company ABC at $11. According to SEC rules, which of the following information is required to be stated on the confirmation?

A.

The firm's cost basis in the security

B.

The firm's inventory level at the time of trade execution

C.

That the firm did not act as a market maker in the security

D.

The capacity in which the firm acted when executing the trade

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