Challenge Your Exam Readiness With Our Free Series 99 License Practice Questions

Question # 75

Which of the following is a primary role of the DTCC?

Options:

A.

Acting as guarantor of securities IPOs

B.

Providing clearance, settlement, and custody services

C.

Enforcing AML rules for broker-dealers

D.

Issuing government bonds directly to investors

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Series 99 License Overview

Name Series 99 License
Code Series 99 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 99 License Questions