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FINRA Regulation Exam Questions and Answers | 100% Pass
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FINRA Regulation Exam Questions and Answers | 100% Pass The FINRA 5% Policy applies to which of the following transactions? - Answer️️ -Over- the-counter agency tradesII Over-the-counter principal tradesIII Trades of listed securities on an exchange floor Commissions charged on transaction...

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  • September 25, 2024
  • 5
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • finra regulation exam questions and answers 100

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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

FINRA Regulation Exam Questions and
Answers | 100% Pass


The FINRA 5% Policy applies to which of the following transactions? - Answer✔️✔️-Over-

the-counter agency tradesII Over-the-counter principal tradesIII Trades of listed

securities on an exchange floor

Commissions charged on transactions effected over-the-counter

A customer that wishes to open an account to buy new issues is required to make a: -

Answer✔️✔️-positive representation that he or she is not restricted within 12 months

preceding the first purchase

negative representation that he or she is not restricted annually thereafter

In order to open a new account for a customer that wishes to buy IPOs, the: -

Answer✔️✔️-customer must sign a representation letter

FINRA's IPO purchase restrictions that prohibit industry personnel from buying new

issues in the primary market apply to: - Answer✔️✔️-Common stock offerings

Which of the following would be considered to be a "retail communication?" -

Answer✔️✔️-A website maintained by a broker-dealer that provides daily market

information




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, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
- Retail Communication: A communication made available to more than 25 existing or

prospective retail clients

Retail communications must be approved by a principal prior to use and can be required

to be filed with FINRA.

All of the following are defined as "institutional clients" for purposes of the FINRA

communications - Answer✔️✔️-bank

investment company

insurance company

Public Appearance - Answer✔️✔️-FINRA describes a public appearance as a

spontaneous, unscripted, live presentation to potential investors.

These are not subject to FINRA filing rules and do not require prior principal approval

(unless the firm requires this as an internal procedure).

However, they are subject to the firm's written supervisory procedures, which must

include post-use review and approval by a principal

A website maintained by a member firm that is not password protected is considered to

be: - Answer✔️✔️-Advertising

Social Media - Answer✔️✔️-FINRA states that as a general matter, 3rd party posts by

customers or anyone else on social media sites established by the firm or its personnel

do not fall under its communications rules.

CMO tranche disclosure - Answer✔️✔️-hen FINRA states that the following disclosures

are optional:

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