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FINRA Series 26 Exam Study Guide with Complete Solutions
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FINRA Series 26 Exam Study Guide with Complete Solutions FINRA Rule 3010 - ️️ Correct-Rule that states each member must: I. Establish written supervisory procedures II. A registered principal is responsible for reviewing procedures III. Each rep is assigned to a principal in charge of supe...

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  • September 25, 2024
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  • 2024/2025
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  • finra series 26 exam study guide with complete sol

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

FINRA Series 26 Exam Study Guide with
Complete Solutions

FINRA Rule 3010 - ✔️✔️Correct-Rule that states each member must:


I. Establish written supervisory procedures

II. A registered principal is responsible for reviewing procedures

III. Each rep is assigned to a principal in charge of supervising their activities, review of

communication, & correspondence bw reps & the public

FINRA Rule 8000 - ✔️✔️Correct-Investigations & Sanctions. Must keep and maintain a

current copy of the manual in a readily accessible place and provide it at a customer's

request.

FINRA Rule 9000 - ✔️✔️Correct-Covers handling of securities violations and complaints.

Think what happens after an investigation (Rule 8000)

District Business Conduct Committee - ✔️✔️Correct-Has initial jurisdiction in handling of

complaints.

Penalties the DBCC & Board of Governors can impose - ✔️✔️Correct-Censure, fine,

suspend, expel, bar

FINRA Rule IM-3110 - ✔️✔️Correct-Defines complaint, says each OSJ must maintain a

record of complaints and any action taken.




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, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
Complaint - ✔️✔️Correct-Any written statement of a customer or any person acting on

behalf of the customer alleging a grievance

Code of Procedure - ✔️✔️Correct-Deals with rules that cover actions by FINRA against

member firms and their associated people

Code of Arbitration - ✔️✔️Correct-requires disputes be submitted for arbitration. Includes

member and customer and/or associated person

Director of Mediation - ✔️✔️Correct-Person appointed by FINRA to administer

proceedings

FINRA Rule 3020 - ✔️✔️Correct-Blanket fidelity bond. Minimum coverage amount is

$25,000. Think 2=$25,000.

FINRA Rule 3030 - ✔️✔️Correct-Outside business activities. Must be written notification.

FINRA Rule 3040 - ✔️✔️Correct-Private securities transactions. Written notice must

include:

1. proposed transaction

2. proposed role

3. compensation conditons

Selling away - ✔️✔️Correct-transaction affected outside the normal business of an

associated person's employment. Not recorded on books or records. Is a violation of

conduct rules.




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