Finra series 24 - Study guides, Class notes & Summaries
Looking for the best study guides, study notes and summaries about Finra series 24? On this page you'll find 60 study documents about Finra series 24.
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Series 24 Question and answers already passed 2024/2025
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Series 24 Question and answers already passed 2024/2025 Series 24 - Unit 5 - Supervision of Brokerage Office Operations 
 
The UPC (Uniform Practice Code) of FINRA was created to set rules for dealer-to-dealer transactions in the ____ market. - correct answer OTC 
 
The UPC Code applies only to _____ securities - correct answer nonexempt 
Does not apply to transactions ... 
- executed on an exchange floor, 
- in exempt securities, 
- in redeemable investment company securities such as mu...
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Exam 10 series 24 wrong answers Question and answers 100% correct 2024/2025
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Exam 10 series 24 wrong answers Question and answers 100% correct 2024/2025 Exam 10 series 24 wrong answers 
 
If there is a deficiency in a portfolio margin account, the customer has how many business days to meet the margin call? 
The portfolio margin rules of FINRA require that margin calls be met in 3 business days. 
 
Note that this contrasts with Regulation T, which requires that margin calls be met "promptly," but no later than 5 business days after the call date. 
 
 
A customer shorts...
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CFP Exam 2024 | 665 QUESTIONS| WITH COMPLETE SOLUTIONS GRADED A+.
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CFP Exam 2024 | 665 QUESTIONS| WITH COMPLETE SOLUTIONS GRADED A+. 
CFP Standards of Conduct Sections (6) Correct Answer: A. Duties owed to clients. 
B. Fin. Planning and Application of Practice Standards 
C. Practice Standards for Fin. Planning Process 
D. Duties owed to firms/subordinates 
E. Duties owed to CFP Board 
F. Prohibition on Circumvention 
Section A of CFP Standards of Conduct Correct Answer: Duties owed to Client: 
1. Fiduciary Duty 
2. Integrity 
3. Competence 
4. Diligence 
5. Dis...
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Series 24 Chapter 4 Question and answers already passed 2024/2025
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Series 24 Chapter 4 Question and answers already passed 2024/2025 Series 24 Chapter 4 
 
SRO's (6) - correct answer - FINRA, along with the CBOE and the MSRB are Self Regulatory Organizations. 
- an SRO Is supported by its own members 
- an SRO sets rules, regulations, and penalties 
- an SRO allows its members to vote 
- SROs are NOT govt agencies 
- all disciplinary actions taken by SROs are subject to SEC review. 
 
Each new applicant for membership as a firm must have what when it comes...
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Series 24 Chapter 1 Question and answers 100% correct 2024/2025
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Series 24 Chapter 1 Question and answers 100% correct 2024/2025 Series 24 Chapter 1 
 
Form NMA - correct answer New Member Application filed thru Firm Gateway 
180 Day Application Review Period 
 
Broker - correct answer Any person engaged in the business of effecting transactions in securities for the account of others 
 
Dealers - correct answer Any person acting on behalf of their own proprietary trading account 
 
Investment Adviser - correct answer Person who, for compensation, ad...
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CFP PREP COURSE- COMPREHENSIVE QUESTIONS WITH CORRECT ANSWERS
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NASDAQ DUTIES: Advertising regulation/investment companies. (define it)Another FINRA task is evaluating members' advertising and communications regarding securities to ensure that they are fair, accurate, and not misleading. These include advertisements for mutual funds and variable annuities in newspapers, magazines, electronic media, and other sales literature such as direct marketing materials. 
 
ARBITRATIONan impartial person or panel hears the issues as presented by both parties, studies ...
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Series 24 Question and answers 100% correct 2024/2025
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Series 24 Question and answers 100% correct 2024/2025 Series 24 
 
Becoming a FINRA Member - correct answer -File online a New Member Application (Form NMA) w/FINRA 
-Register with SEC as B/D and file Form BD 
-Meet standards under rule 1014 
 
Statutory Disqualification - correct answer Member or individual who has faced disciplinary sanctions by the SEC or another SRO in the last 10 years. SD cannot work in the securities industry without an exception from the DMR. 
 
Form MC-400 - corr...
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Series 24 Unit 11 Question and answers correctly solved 2024/2025
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Series 24 Unit 11 Question and answers correctly solved 2024/2025 Series 24 Unit 11 
 
Seller's Option - correct answer A type of settlement that can occur if the seller, for good reason, will be unable to deliver the securities to the buyer by the regular way settlement date. If granted by the buying dealer, the seller can make delivery on or before the date the option expires 
 
Intention to Deliver - correct answer Written notice that a seller must give a buyer, this notice must be give...
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Series 24 Missed Questions and answers verified to pass 2024/2025
- Exam (elaborations) • 11 pages • 2024
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Series 24 Missed Questions and answers verified to pass 2024/2025 Series 24 Missed Questions 
 
Which of the following are defined as penny stocks? 
I. Nasdaq stock trading at $5 per share. 
II. Bulletin Board stock quoted at $5 per share. 
III. NMS stock trading at $5 per share. 
IV. OTC Pink stock quoted at $5 per share 
A) II and III 
B) II and IV 
C) I and III 
D) I and IV - correct answer B) II and IV 
 
--A penny stock is a non-Nasdaq (Bulletin Board or Pink Quote) stock trading at under...
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Series 24 crunch time facts Question and answers correctly solved 2024/2025
- Exam (elaborations) • 14 pages • 2024
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Series 24 crunch time facts Question and answers correctly solved 2024/2025 Series 24 crunch time facts 
 
Chapter 1 - correct answer o The Effective Date of an IPO is determined by the SEC (NOT FINRA or the issuer). 
o If the SEC sues an issuer and underwriter for false statements and/or material omissions in a prospectus, the customer may still file a lawsuit against both the issuer and the underwriter. 
o What would preclude an issuer from obtaining WKSI status? Involvement in bankruptcy i...
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