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
FINRA Regulation Exam Questions and Answers | 100% Pass $9.99   Add to cart
Quickly navigate to
Preview
  2.  
  3. Sie
  4.  
  5. Sie

Exam (elaborations)

FINRA Regulation Exam Questions and Answers | 100% Pass
 6 views  0 purchase
  • Course
  • Sie
  • Institution
  • Sie

FINRA Regulation Exam Questions and Answers | 100% Pass The FINRA 5% Policy applies to which of the following transactions? - Answer️️ -Over- the-counter agency tradesII Over-the-counter principal tradesIII Trades of listed securities on an exchange floor Commissions charged on transaction...

[Show more]

Preview 2 out of 5  pages

Document information

  • September 25, 2024
  • 5
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

Subjects

  • finra regulation exam questions and answers 100

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

FINRA Regulation Exam Questions and
Answers | 100% Pass


The FINRA 5% Policy applies to which of the following transactions? - Answer✔️✔️-Over-

the-counter agency tradesII Over-the-counter principal tradesIII Trades of listed

securities on an exchange floor

Commissions charged on transactions effected over-the-counter

A customer that wishes to open an account to buy new issues is required to make a: -

Answer✔️✔️-positive representation that he or she is not restricted within 12 months

preceding the first purchase

negative representation that he or she is not restricted annually thereafter

In order to open a new account for a customer that wishes to buy IPOs, the: -

Answer✔️✔️-customer must sign a representation letter

FINRA's IPO purchase restrictions that prohibit industry personnel from buying new

issues in the primary market apply to: - Answer✔️✔️-Common stock offerings

Which of the following would be considered to be a "retail communication?" -

Answer✔️✔️-A website maintained by a broker-dealer that provides daily market

information




1/5

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
- Retail Communication: A communication made available to more than 25 existing or

prospective retail clients

Retail communications must be approved by a principal prior to use and can be required

to be filed with FINRA.

All of the following are defined as "institutional clients" for purposes of the FINRA

communications - Answer✔️✔️-bank

investment company

insurance company

Public Appearance - Answer✔️✔️-FINRA describes a public appearance as a

spontaneous, unscripted, live presentation to potential investors.

These are not subject to FINRA filing rules and do not require prior principal approval

(unless the firm requires this as an internal procedure).

However, they are subject to the firm's written supervisory procedures, which must

include post-use review and approval by a principal

A website maintained by a member firm that is not password protected is considered to

be: - Answer✔️✔️-Advertising

Social Media - Answer✔️✔️-FINRA states that as a general matter, 3rd party posts by

customers or anyone else on social media sites established by the firm or its personnel

do not fall under its communications rules.

CMO tranche disclosure - Answer✔️✔️-hen FINRA states that the following disclosures

are optional:

2/5

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 $9.99. You're not tied to anything after your purchase.

Can Stuvia be trusted?

4.6 stars on Google & Trustpilot (+1000 reviews)

79373 documents were sold in the last 30 days

Founded in 2010, the go-to place to buy study notes for 14 years now

Start selling
$9.99
  • (0)
  Add to cart