SOFQ Securities Operations Foundation Qualification (SOFQ) Questions and Answers

International central securities depositories

Global custodians

Local custodians

National central securities depositories

International Securities Identification Number; a 13-character alpha-numeric code

International Secondary ID Notation; a 13-character alpha-numeric code

International Securities Identification Number; a 12-character alpha-numeric code

International Secondary ID Notation; a 12-character alpha-numeric code

Reconciliation of settled positions, per trading book and per security - between the trading department and operations

Reconciliation of settled positions, per trading book and per security - between operations and the firm's custodian

Reconciliation of trading positions, per trading book and per security - between the firm's counterparty and the firm's custodian

Reconciliation of trading positions, per trading book and per security - between the trading department and operations

Standing Settlement Instruction

Standard Securities Instruction

Settlement Standard Instruction

Securities Standing Instruction