when can you share an OBO's info correct answers never can you even ask the OBO if you
can do this
does one member of a JTWROS need Trading Authorization to make investment
decisions for the acoount correct answers no, a member of a JTWROS does not need this to
make investment decisions for t...
Series 26 Super Set 04 || A+ Verified Solutions.
when can you share an OBO's info correct answers never can you even ask the OBO if you
can do this
does one member of a JTWROS need Trading Authorization to make investment
decisions for the acoount correct answers no, a member of a JTWROS does not need this to
make investment decisions for the account
is principal approval sufficient for a 5 yr old firm to make a retail
ad for specific stocks before it's sent to FiNRA correct answers yes this is all that
has to happen before a 5 yr old firm makes a retail ad for specific
stocks
how long to keep record of a SAR correct answers 5 yrs to keep this Big Brother like
report
is moving money frequently among unrelated accounts suspicious correct answers no
moving money among unrelated accounts is not this
how many days can you use a house to do business before it becomes a
branch office correct answers 30 days you can do business from home before your home
becomes this
what's SPDR correct answers an ETF that tracks the S&P is this
Net capital correct answers ____ - ____ =tentative net capital-haircuts is this
can a mutual fund distributor give a cash gift to an associate correct answers no a mutual fund
distributor can't give this to an associate
how soon must FiNRA disclose member's cancellation correct answers ASAP is how FiNRA
must disclose this
before reporting lost security it should have been missing __ and then
repored within __ correct answers 2 days and 1 business day are the lengths for this to be
appropriate
who completes the FOCUS correct answers the FINOP completes this
does SIPC cover officers in a firm correct answers no the SIPC doesn't cover this in a
firm
who notifies original employing firm when associate starts working for
a new firm too correct answers the associate notifies his original employer when he does
this
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