Series-7 Exam Dumps | A registered bond with "Happy Birthday" scrawled across the face of the certificate is delivered to a

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Question 70/390

A registered bond with "Happy Birthday" scrawled across the face of the certificate is delivered to a broker/ dealer in satisfaction of sale by another member firm. Assuming it is accompanied by an authentic assignment, power of substitution form, and tax stamps (if appropriate), this is good delivery only if:

A. the certificate is validated by the transfer agent

B. the certificate is validated by the registered owner

C. the marking did not cover the name of the registered owner or the principal amount of the bond

D. this is not a good delivery under any circumstances

Question List (390q): Question 1: Which of the following are sources of funding for limited pa...; Question 2: The Bubba Corporation is offering stock to the public for th...; Question 3: Which of the following sources provides news of prospective ...; Question 4: Which of the following types of investment companies pays ou...; Question 5: Which of the following option positions is indicative of the...; Question 6: The net investment income of an open-end investment company ...; Question 7: Which of the following statements incorrectly describes US s...; Question 8: For a self-employed individual's retirement plan, ERISA perm...; Question 9: Which of the following is a benefit of Section 8 low-income ...; Question 10: Municipal bond brokers generally conduct the following:...; Question 11: An option that permits the holder to exercise the contract o...; Question 12: Under what circumstances may a municipal securities dealer g...; Question 13: When a corporation dissolves, who gets paid first?...; Question 14: A wealth investor gives Bubba discretion to invest $50,000 f...; Question 15: Which of the following is identified as a funded debt instru...; Question 16: The Securities Act of 1933 provides for:...; Question 17: Bubba has a short margin account with a short market value o...; Question 18: Bubba buys an OTC stock from a firm that is a market -maker ...; Question 19: A market-maker has purchased a particular stock over a perio...; Question 20: Bubba has several accounts at a brokerage firm. 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Question 70/390

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