100% satisfaction guarantee Immediately available after payment Both online and in PDF No strings attached
logo-home
Previously searched by you
Previously searched by you
logo
Series 10 Exam Study Guide with Complete Solutions $9.99
Add to cart
Quickly navigate to
Preview
  2.  
  3. Sie
  4.  
  5. Sie

Exam (elaborations)

Series 10 Exam Study Guide with Complete Solutions
 0 purchase
  • Course
  • Sie
  • Institution
  • Sie

TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD OWNER: EMILLYCHARLOTTE COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED FIRST PUBLISHED: SEPTEMBER 2024 1/16 Series 10 Exam Study Guide with Complete Solutions New Stock in registration phase.... - Answer️️ -RR may NOT send...

[Show more]

Preview 3 out of 16  pages

Document information

  • September 25, 2024
  • 16
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

Subjects

  • series 10 exam study guide with complete solutions

Written for

  • Sie
  • Sie

Seller

avatar-seller
EmillyCharlotte

Reviews received

Content preview

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

Series 10 Exam Study Guide with
Complete Solutions

New Stock in registration phase.... - Answer✔️✔️-RR may NOT send out report! This

would constitute an offer.

Under Rule 144, a customer wishing to sell must file 144 'Notice of Sale' with SCC -

Answer✔️✔️-Concurrent with placement of the sale order

Allowed prior to the filing of the Registration statement - Answer✔️✔️-NOTHING!

No Rule 144? - Answer✔️✔️-No filing is required if the sale amount every 90 days does

not exceed 5000 shares nor more than $50,000.

3 Year Records - Answer✔️✔️-Order Tickets

Communications to Customers

Customer complaints (CBOE )

Advertising.

6 Year Records - Answer✔️✔️-Customer Acct Statements

Trade Bloggers

Cash receipts (disbursement blotters)

District Hearing Panel - Answer✔️✔️-Customer files standard complaint form, which is

forwarded to DHP.



1/16

,TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
Panel renders dicision within 60 days

A registered rep is fined more than $2500 - Answer✔️✔️-This must be filed (reported)

promptly with FINRA (NO LATER THAN 30 DAYS after event)



This is a reportable event.

Rule 147 - Answer✔️✔️-Intrastate offerings cannot be resold out of state for 9 months

after sale date.

Requirements of Rule 147 - Answer✔️✔️-The issuer must obtain proof of residency from

each purchaser. The issuer must place a restriction legend on the certificates. The

issuer must be a resident of that state.

Rule 10b-2 - Answer✔️✔️-Prohibits underwriter, issuer, or participant in a new issue

distribution from placing buy orders for the issue, buying the issue, or taking options

positions on the issue in the aftermarket.

Who is prohibited from buying an IPO of an equity security under Rule 5130? -

Answer✔️✔️-Portfolio Manager of an Investment Company and a Portfolio Manager of

Insurance Company (Investment Co. and Insurance Co. CAN buy an IPO).

The FINRA IPO Policy that prohibits industry "insiders" from buying new equity issues

applies to: - Answer✔️✔️-NEW COMMON ISSUES

(it does NOT apply to Debt offerings, Secondary Common stock distributions, and

Private placements under Reg D.)



2/16

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
Orders that are placed below the market... - Answer✔️✔️-.... are reduced on ex-date, for

cash dividends. (OBLOSS).

Orders that are placed above the market.... - Answer✔️✔️-.... are not reduced on ex-date

for cash dividends. (OSLOBS).

If there is a stock dividend or stock split... - Answer✔️✔️-then all open orders will be

adjusted.

Stock dividends that result in round lots (NYSE): - Answer✔️✔️-Number of shares

Increased and Price reduced.

Stock splits that result in Odd Lots (NYSE): - Answer✔️✔️-Number of Shares STAYS

THE SAME, and the price is still reduced.

If there is a reverse split (NYSE): - Answer✔️✔️-All open orders and cancelled.

Commission on OTC and Exchange Agency Trades - Answer✔️✔️-COMMISSION

DISCLOSED!

Mark-up on OTC Principal Transactions in NASDAQ Issues - Answer✔️✔️-MARK-UP

DISCLOSED!

Non-NASDAQ OTC Principal Transactions - Answer✔️✔️-Mark-up NOT disclosed!

Max sales charge on Fund that DOES NOT impose 12b-1 fee: - Answer✔️✔️-8 1/2 %

ABC corporation has 18,000,000 shares outstanding. An officer of ABC wishes to sell

ABC stock on November 15th. The prior weeks' trading volumes are:

Week Ending Volume

3/16

The benefits of buying summaries with Stuvia:

Guaranteed quality through customer reviews

Guaranteed quality through customer reviews

Stuvia customers have reviewed more than 700,000 summaries. This how you know that you are buying the best documents.

Quick and easy check-out

Quick and easy check-out

You can quickly pay through credit card or Stuvia-credit for the summaries. There is no membership needed.

Focus on what matters

Focus on what matters

Your fellow students write the study notes themselves, which is why the documents are always reliable and up-to-date. This ensures you quickly get to the core!

Frequently asked questions

What do I get when I buy this document?

You get a PDF, available immediately after your purchase. The purchased document is accessible anytime, anywhere and indefinitely through your profile.

Satisfaction guarantee: how does it work?

Our satisfaction guarantee ensures that you always find a study document that suits you well. You fill out a form, and our customer service team takes care of the rest.

Who am I buying these notes from?

Stuvia is a marketplace, so you are not buying this document from us, but from seller EmillyCharlotte. Stuvia facilitates payment to the seller.

Will I be stuck with a subscription?

No, you only buy these notes for $9.99. You're not tied to anything after your purchase.

Can Stuvia be trusted?

4.6 stars on Google & Trustpilot (+1000 reviews)

69052 documents were sold in the last 30 days

Founded in 2010, the go-to place to buy study notes for 15 years now

Start selling
$9.99
  • (0)
Add to cart
Added