Series 24 timeframes || with 100% Errorless Answers.
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Course
Series 24
Institution
Series 24
30 seconds correct answers For trades executed during normal hours and canceled at or before 4:00, the cancellation report must be made within
30 seconds correct answers market maker trades must be reported within
2 days correct answers Form 4 an officer acquiring 5% of beneficial ownership m...
Series 24 timeframes || with 100% Errorless Answers.
30 seconds correct answers For trades executed during normal hours and canceled at or before
4:00, the cancellation report must be made within
30 seconds correct answers market maker trades must be reported within
2 days correct answers Form 4 an officer acquiring 5% of beneficial ownership must be filed
within (escalated because it's an insider!)
4 days correct answers 8k's must be filed within this many days of an event
15 days correct answers SEC Rule 503 requires that issuers of unregistered securities file Form
D (Notice of Sales Made) with the SEC within this many days of the first sale (5 0 3)=5x3=15
15 days correct answers customer compliants filed within this many days of end of quarter with
FINRA
15 days correct answers for CTR reports of transactions of $10,000 or more must be reported
within this many days (the higher amount causes escalation)
10 days correct answers advertising must be filed with FINRA within this many days of 1st use
10 days correct answers invesmtent analysis tools must be filed within this many days of first use
10 days correct answers all CMO and derivative ads must be filed this many days BEFORE 1st
use
10 days correct answers length of the quiet period (reports cannot be issued) for additional issues
10 days correct answers day trading accounts must be approved in this timeframe after opening
10 days correct answers form 13D must be filed if someone takes over 5% of a company's
outstanding stock, this is a shorter form for more ACTIVE investors
30 days correct answers Long Term Subordinated loan agreements must be filed with FINRA
within this amount of days
10 days correct answers the amount of additional time that investors have if anything material
changes connected to a tender offer
10 days correct answers form 147 in an intrastate offering must be filed this amount of days
before effective date (same as 147 holding period)
10 days correct answers amount of days a comany has to notify FINRA of an upcoming dividend
, 10 days correct answers B/D ammendments must be filed with FINRA within this timeframe
(same as disclosure on REPS)
10 days correct answers for BD members in their 1st year all ADs must be filed in this amount of
time BEFORE 1st use
2 weeks correct answers Short positions in Nasdaq securities in both customer and proprietary
accounts must be reported to FINRA when? This is referred to as short interest reporting.
20 days correct answers NAC can suspend a member after providing this many days notice after
requesting ADDTL information (not to be confused with the 45 day limit for initial information)
20 days correct answers within this many days of years end, insiders can short inside the box to
preserve gains
20 days correct answers this is the amount of days that an FINAL Offering Circular must be
provided in advance of a REG A Offering
25 days correct answers amount of days that new issue final prospectus must be delivered to
client
15 days correct answers # of days that membe recieves notice of being revoked for failure to pay
fees
10 years correct answers number of years that any felony conviction or securities crime or
misdeamoeanor will keep reps out of the industry
10 days correct answers rr violations must be reported within this time (same as material changes
to a FIRM)
90 days correct answers amount of days that rr have to re-register after leaving the industry for
military service return
3 years correct answers frequency of inspecting non-supervising branches
2 days correct answers amount of time that new hire has to provide new employer with U-5 upon
request
60 days correct answers amount of time that violating firms have to put in tape recording
methods
30 days correct answers amount of time that any location (other than a primary residence) can be
used before having to register a branch office
1 year correct answers comparable recommendations must be shown over this time frame in
research reports
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