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 (Practice exams 1 & 2) Questions and Answers 100% Correct CA$18.51
Add to cart
Quickly navigate to
Preview
  2.  
  3. Sie
  4.  
  5. Sie

Exam (elaborations)

Series 10 (Practice exams 1 & 2) Questions and Answers 100% Correct
 0 purchase
  • Course
  • Sie
  • Institution
  • Sie

Series 10 (Practice exams 1 & 2) Questions and Answers 100% Correct C - Answer️️ -All investment company advertising must be filed with FINRA: A 10 business days prior to 1st use B 10 business days prior to use for the 1st year of operations; no filing is required thereafter C 10 busi...

[Show more]

Preview 4 out of 36  pages

Document information

  • September 25, 2024
  • 36
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

Subjects

  • series 10 practice exams 1 2 questions and ans

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 (Practice exams 1 & 2)
Questions and Answers \ 100% Correct


C - Answer✔️✔️-All investment company advertising must be filed with FINRA:


A

10 business days prior to 1st use

B

10 business days prior to use for the 1st year of operations; no filing is required

thereafter

C

10 business days after 1st use

D

10 business days after 1st use for the 1st year of operations; no filing is required

thereafter

C - Answer✔️✔️-A registered representative works from her home office, with supervision

of the location performed by the branch manager at the local member firm office in that

town. Both the home office and the local member firm office are registered with FINRA

as branch locations. Which statement is TRUE?

A

The local office may be advertised as a branch, but the home office may not

1/36

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

The home office may be advertised as a branch, but the branch office may not

C

Both the local office and the home office may be advertised as branches

D

Neither the local office nor the home office may be advertised as branches

B - Answer✔️✔️-Under MSRB rules, an order ticket for an agency transaction must

include all of the following EXCEPT:

A

time of order receipt

B

time of order entry

C

time of order execution

D

time of order cancellation

lowest ask price - Answer✔️✔️-Under the FINRA 5% Policy, the mark-up percentage is

calculated based upon the

A - Answer✔️✔️-A "bona fide" customer, to whom a copy of a member firm's statement of

financial condition must be provided upon request, is defined as a person who:

A


2/36

,TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
has cash or securities in the possession of the member

B

has traded through the member within the past 3 months

C

is not a member of FINRA

D

has engaged in any business transaction with the member within the past 12 months

C - Answer✔️✔️-Municipal issuers are subject to:

A

regulations promulgated by the Municipal Securities Rulemaking Board

B

registration requirements for new issues imposed under the Securities Act of 1933

C

anti-fraud Rule 10b-5 promulgated under the Securities Exchange Act of 1934

D

all of the above

C - Answer✔️✔️-Which security MUST be registered with the SEC?

A

Port authority revenue bond

B

Bank CD in the amount of $10 million


3/36

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

Debenture shelf offering of $100 million

D

Regional bank stock sold in an add on offering

II and IV - Answer✔️✔️-The FINRA 5% Policy applies to transactions in which of the

following securities?

I Open end investment companies

II Closed end investment companies

III Unit investment trusts

IV Real estate investment trusts

limit orders (limit order protection rule) - Answer✔️✔️-The Manning Rule covers:

C - Answer✔️✔️-Regarding FINRA Rule 5130 on IPO purchases of common stock from

underwriters, which statement is TRUE?

A

A FINRA member firm is allowed to buy a new issue for the firm's investment account

B

An underwriter in the syndicate is allowed to buy and retain a portion of the issue

C

The self-supporting spouse of a bank President is permitted to buy the issue

D




4/36

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 CA$18.51. You're not tied to anything after your purchase.

Can Stuvia be trusted?

4.6 stars on Google & Trustpilot (+1000 reviews)

64670 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

Recently viewed by you

Exam (elaborations) ·

(3)

2023 MAY EXAM SOLUTIONS - ENRICHMENT LIABILITY AND ESTOPPEL - PVL3704

Class notes ·

(0)

Extensive lecture summary Innovations in Clinical neuropsychology

Exam (elaborations) ·

(0)

NR 601 / NR601 Midterm Exam Study Guide (Latest 2022/2023) Chamberlain

Exam (elaborations) ·

(0)

ATI Maternal Newborn Proctored Final Exam Study Guide Latest 2021

Exam (elaborations) ·

(0)

NR 325 Neuro Practice Questions with Answers Latest and assures Grade A

Exam (elaborations) ·

(0)

straighterline bus201 exam 3 questions 2023-2024 with correct solutions

Exam (elaborations) ·

(0)

Early Childhood Education Exam With 100% Correct Answers 2024| MTTC

Exam (elaborations) ·

(1)

INC3701 Assignment 2 (COMPLETE ANSWERS) 2024 (688449) - DUE 21 May 2024

Summary ·

(0)

Uitgebreide samenvatting Microbiologie (voor Biochemie en Farmacie)

CA$18.51
  • (0)
Add to cart
Added