who can review customer accounts for irregularities and abuses correct answers any
associate regardless of if he works in that office or is supervised by
anyone in that office, can do this
how often does OSJ inspect branch office correct answers annually is how often OSJ
inspects this
what...
Series 26 Super Set 03 || Already Graded A+.
who can review customer accounts for irregularities and abuses correct answers any
associate regardless of if he works in that office or is supervised by
anyone in that office, can do this
how often does OSJ inspect branch office correct answers annually is how often OSJ
inspects this
what is the minimum net capital for dealers correct answers $100k is min net capital
requirement for this
are third party vendors who do back office work for a FinRA member
responsible for FinRA compliance correct answers yes third party vendors who do back office
work for a FinRA member are responsible for this
what's the price for a respondent making an offer of settlement correct answers consent to
violation and give up right to a hearing
do sellers of exempt securities have to register correct answers yes sellers of exempt
seurities have to do this
are customers required to get a mutual fund's statement of additional
information correct answers no, customers are required to get a mutual fund's prospetus,
but not this
is there a way to back out of redeeming mutual fund shares correct answers no, you can't
back out if you've done this with your mutual find shares
when must identification of order related to program trade or index
arbitrage trade be done correct answers when order is originated, received, or modified
is when this must be done for an order related to a program trade or
index arbitrage
what can owners of a mutual fund vote on correct answers matters of material
importance such as investment policy or the investment advisor contract
is what owners of this kind of account can vote on
how long can the SEC suspend a BD correct answers 12 months is the longest a BD can
be suspended by this
can a firm limit a rep's conditions related to an uncompensated private
securities participation correct answers yes, related to an uncompensated private
securities participation, a firm can do this
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