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Official Practice ProblemFINRA Series 7 Blueprint: Function 4
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Question #1098Function 4Fundamental

SEC Rule 15c6-1: Regular-Way T+1 Settlement Standard

Under the amended SEC Rule 15c6-1 (effective May 2024), what is the regular-way settlement timeframe for standard secondary market transactions in corporate equities, corporate bonds, and municipal securities?

Correct Choice: A

Under SEC Rule 15c6-1, regular-way settlement for equities, corporate bonds, and municipal bonds transitioned from T+2 to T+1 (one business day after trade date). A trade executed on Monday settles on Tuesday.

Complete Analysis & Legal Rationale

U.S. Government Treasuries and standard options trades also settle on T+1.

Distractor Autopsy (Why Other Options Are Traps)

FINRA exam writers design incorrect distractors using specific calculation mistakes and regulatory misconceptions. Review why each option succeeds or fails:

Choice ACorrect
Accurate Settlement Rule

T+1 is the mandatory regular-way settlement cycle under current SEC rules.

Choice BIncorrect
Outdated Settlement Rule Trap

T+2 was the previous rule superseded in May 2024.

Choice CIncorrect
Reg T Payment Date Confusion

T+3 is the Reg T payment due date (S+2), not securities settlement.

Choice DIncorrect
Cash Settlement Confusion

Same-day settlement is 'cash settlement', not regular-way.

Regulatory Authority & Citations:
SECSEC Rule 15c6-1Settlement Cycle

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