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Question: 1 / 400

Which day is used as the markup deadline for a member’s branch office registration after exceeding the transaction threshold?

10 days

20 days

30 days

The markup deadline for a member’s branch office registration after exceeding the transaction threshold is set at 30 days. This means that once a member’s branch office has exceeded the specified transaction threshold, they are required to register that branch office with the appropriate regulatory authority within a 30-day period. This rule is in place to ensure that the broker-dealer maintains compliance with regulatory requirements and can effectively oversee its operations in various locations. The 30-day timeframe provides a reasonable period for the necessary paperwork and compliance checks to be completed, allowing for timely registration and oversight in the financial services industry.

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60 days

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