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Series 24 - Cheat Sheet || with 100% Error-free Solutions.
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after notice by FINRA, how long do members have to pay fees? correct answers 21 days how much notice needs to be give to FINRA before a material change to a firm? correct answers 30 days how long after statutory dq'ing event must you report an associated person to FINRA? correct answers do it...

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  • August 9, 2024
  • 7
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

Subjects

  • after notice by finra how long do members have to

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  • Series 24 - Cheat Sheet

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Series 24 - Cheat Sheet || with 100% Error-free Solutions.
after notice by FINRA, how long do members have to pay fees? correct answers 21 days

how much notice needs to be give to FINRA before a material change to a firm? correct answers
30 days

how long after statutory dq'ing event must you report an associated person to FINRA? correct
answers do it promptly, no longer than 30 days

what are two ways to be DQ'd by FINRA? correct answers convicted of money/securities
misdemeanor, or any felony within past 10 years

how often must the firm element of continuing ed be completed? correct answers annually

when must regulatory element of continuing ed be completed? correct answers within 120 days
of second registration anniversary and every 3 years after

what can active military service do? correct answers receive commissions on book, 2 year
expiration clock rolled, must reactivate within 90 days of return

what can active military service not do? correct answers no form U5 necessary, cannot perform
as RR, CE requirement suspended

what is FINRA rule 3110? correct answers how often inspections must occur

how often must OSJ and supervising branches be inspected? correct answers annually

how often must non supervising branches be inspected? correct answers every three years

what is FINRA rule 3120? correct answers principals must submit to management annually a
report detailing system of supervisory controls

what two things does FINRA rule 3130 do? correct answers CEO must certify annually that firm
has proper supervisory procedures in place; firm must designate chief compliance officer

what does FINRA rule 4370 state? correct answers business continuity plans must be disclosed
to customers on account opening; firms must designate two associated persons as emergency
contacts; changes to contact info must be updated promptly

how long do you have to amend a form U4? correct answers 30 days

how do you amend a form U4? correct answers with DRPs (new needs reps signature)

how long to file a form U5? correct answers within 30 days of employee termination?

, who does U5 go to? correct answers both FINRA and terminated employee

who provides U5 copy to new firm? correct answers employee (2 days) or FINRA

who needs to be at each OSJ? correct answers at least one principal

what is kept at OSJ? correct answers customer records including complaints

how often is compliance meeting required for RRs and principals? correct answers annually

if you have to record calls, how long after FINRA notification to set up? correct answers 60 days

what do private securities transactions require? correct answers written notice to member firm
and written permission from member?

when is sharing in customer accounts permitted? correct answers with principal approval

how is sharing in customer accounts divided? correct answers proportionate to contribution

what are three ways where RR can borrow money from customer? correct answers customer is
family, or lending institution, procedures for loans are set in WSP

if you operate at a bank, what must you do? correct answers disclose to customers that operating
jurisdiction, rules, etc. are different from the bank

what must be done to get continuing commissions? correct answers must have written agreement
in place

what is retail comunication? correct answers any written communication distributed or made
available to more than 25 retail investors within any 30 day calendar period

what are social media posts subject to? correct answers principal approval and record keeping
rules

how long to file investment analysis tools with FINRA? correct answers 10 days after first use

how long must research reports go back to include price performance or past recs? correct
answers 12 months

what must research reports include? correct answers price at date of report, disclosure of control
relationship, if firm managed any underwriting within past 12 months, if firm makes a market in
the subject security

what can't analyst compensation be tied to? correct answers specific Ibanking transactions

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