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FINRA Series 24 Questions with complete solution 2024/2025 $13.49   Add to cart
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FINRA Series 24 Questions with complete solution 2024/2025
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FINRA Series 24 Questions with complete solution 2024/2025 FINRA Series 24 (times and/or deadlines for reporting & filing) Spot checks on BD by FINRA can happen - correct answer Anytime Sell out occurs if seller doesn't receive money from buying firm w/o notice after regular way settlement...

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  • September 27, 2024
  • 15
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • SERIES 24
  • SERIES 24

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FINRA Series 24 (times and/or deadlines
for reporting & filing)
Spot checks on BD by FINRA can happen - correct answer ✔Anytime


Sell out occurs if seller doesn't receive money from buying firm w/o notice
after regular way settlement - correct answer ✔Anytime


ACAT form must be sent to old BD from new BD when - correct answer
✔Immediately


Coordination registration when SEC clears issue (blue sky) effective - correct
answer ✔Immediately


PIPE(private investment in public equity) issuer files registration statement w/
SEC after closing of offering when - correct answer ✔Immediately


REG S sales made to any SEC-designated offshore securities market
reported - correct answer ✔Immediately


REG FD issues make nonpublic info available to public if intentionally giving
out to analyst must make public when - correct answer ✔Immediately


Display customer limit order that improves market makers quote - correct
answer ✔Immediately


Calculation for violation of Net Cap rules reported - correct answer
✔Immediately

, BD Net Cap calculation after finish of offering reported - correct answer
✔Immediately


Clearing firm forwards complaint from customer regarding IBD to FINRA &
IBD - correct answer ✔Immediately


Restricted period for actively traded securities - correct answer ✔None


Time limit for stabalization - correct answer ✔None


Regulatory Reporting requirement for Pink Sheet company - correct answer
✔None


Prospectus Requirement for APO Listed / Nasdaq offering - correct answer
✔None


OATs Reporting to FINRA - correct answer ✔Daily


All fully paid securities under possession or control of BD reported - correct
answer ✔Daily


Update "easy-to-borrow list" for short selling - correct answer ✔Every 24
hours


ACAT form validated by delivering BD within - correct answer ✔1 business
day

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