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
Series 24 Quicksheet Question and answers rated A+ 2024/2025 $13.49   Add to cart
Quickly navigate to
Preview
  2.  
  3. SERIES 24
  4.  
  5. SERIES 24

Exam (elaborations)

Series 24 Quicksheet Question and answers rated A+ 2024/2025
 7 views  0 purchase
  • Course
  • SERIES 24
  • Institution
  • SERIES 24

Series 24 Quick sheet Question and answers rated A+ 2024/2025 Series 24 Quicksheet what is the 'grace period' for fees being paid to FINRA? - correct answer 21 days until membership revoked or suspended how long do you need to notify FINRA before making a material change to the firm? - cor...

[Show more]

Preview 1 out of 2  pages

Document information

  • September 28, 2024
  • 2
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

Subjects

Written for

  • SERIES 24
  • SERIES 24

Seller

avatar-seller
Academia199

Reviews received

Content preview

Series 24 Quicksheet
what is the 'grace period' for fees being paid to FINRA? - correct answer
✔21 days until membership revoked or suspended


how long do you need to notify FINRA before making a material change to the
firm? - correct answer ✔30 days


how long do you have to report an AP having a statutory disqualifying event? -
correct answer ✔promptly to FINRA, no more than 30 days


what leads to statutory DQ from FINRA? - correct answer ✔convicted of
money/securities misdemeanor or any felony within past 10 years


how often must firm element of Continuing Education be completed for
FINRA? - correct answer ✔annually


how often must the regulatory element of FINRA continuing ed be completed?
- correct answer ✔within 120 days of second registration anniversary, and
every 3 years after


what is FINRA rule 3110? - correct answer ✔office of supervisory jurisdiction
(OSJ) and supervising branches inspected annually; non supervisory
branches inspected at least once every three years


what is FINRA rule 3120? - correct answer ✔designated principles must
submit to the member's senior management annually a report detailing system
of supervisory controls, summary of test results, significant identified
exceptions

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 Academia199. Stuvia facilitates payment to the seller.

Will I be stuck with a subscription?

No, you only buy these notes for $13.49. You're not tied to anything after your purchase.

Can Stuvia be trusted?

4.6 stars on Google & Trustpilot (+1000 reviews)

77254 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
$13.49
  • (0)
  Add to cart