Series 99 – Operations Professional Trade Practice Questions
The free Series 99 – Operations Professional questions that deal with trade, with answers and explanations. The full bank and the timed practice test cover every topic the exam asks about.
Question #2
In a trade, what document confirms the details of the transaction?
Correct answer: C
Explanation
The confirmation document details the specifics of the trade for both the buyer and seller.
Question #10
Who bears the risk of a trade until it is settled?
Correct answer: D
Explanation
Between the time of trade execution and settlement, both parties assume certain risks until the trades are finalized.
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