Series 10 finra Study guides, Class notes & Summaries
Looking for the best study guides, study notes and summaries about Series 10 finra? On this page you'll find 111 study documents about Series 10 finra.
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Series 79 Knopman Marks question n answers 2024
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Series 79 Knopman Marks 
deferred tax asset or liability? Acceleration of revenue for accounting purposes - correct answer Deferred tax liability 
 
Source or use of cash? Decrease in accrued liabilities - correct answer Use of Cash 
 
Source or use of cash? Improvement in net working capital - correct answer Use of cash 
 
Purpose of a Schedule 13F - correct answer A 13F is a quarterly filing by Institutional Investment managers to disclose long equity positions 
 
Disclosure document used to g...
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CFP Exam 2024 | 665 QUESTIONS| WITH COMPLETE SOLUTIONS GRADED A+.
- Exam (elaborations) • 72 pages • 2024
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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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CFP Exam 2024 | 665 QUESTIONS| WITH COMPLETE SOLUTIONS GRADED A+.
- Exam (elaborations) • 72 pages • 2024
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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 79 Investment Banking well answered rated A+ 2024
- Exam (elaborations) • 37 pages • 2024
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Series 79 Investment Banking 
Front-Running - correct answer Trading ahead of client orders 
 
Painting the Tape - correct answer Creating a misleading appearance of trading 
 
Pegging - correct answer Manipulative activity used to keep a price from falling 
 
Capping - correct answer Manipulative activity used to keep a price from rising 
 
Insider Trading Criminal Penalties - correct answer Individuals: max fine of $5m, 20 yrs 
Corporation: max fine of $25m 
 
Insider Trading Civil Penalties -...
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Series 79 correctly answered(2024)
- Exam (elaborations) • 21 pages • 2024
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Series 79Statutory disqualification - correct answer convicted in the past 10 years of any crime involving funds or securities OR expulsion from an SRO, SEC, CFTC, or any other regulatory agency 
 
Waiting period after failing Series 79 - correct answer 30 days for the first and second attempt, 180 for each subsequent attempt 
 
Continuing education - correct answer starts on second anniversary and every three years after; if not completed in 120 days, person will become inactive; registered per...
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Series 79 Diagnostic 2 Qs and answers verified to pass
- Exam (elaborations) • 21 pages • 2024
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Series 79 Diagnostic 2 Qs and answers verified to pass A large accelerated filer's fiscal year ends on September 30. By what date must it file its first quarterly 10-Q report for the next fiscal year, beginning October 1? - correct answer February 9 
 
For large accelerated filers, a 10-Q must be filed within 40 days after the close of each fiscal quarter, except at the end of the company's fiscal 4th quarter, when a 10-K is filed. The company's first fiscal quarter ends on December 31. So ...
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Series 26 || All Correct.
- Exam (elaborations) • 11 pages • 2024
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U-5 Form correct answers Under FINRA rules, if a new employer requests a copy of Form U-5 from a new employee, he must provide it within 2 business days 
 
When a registered principal terminates his employment at a FINRA member firm.... correct answers The terminating firm must notify FINRA within 30 days 
And 
the terminating firm must provide a Form U-5 to FINRA 
 
What is NOT considered a security? correct answers Index Annuities 
 
U-4 changes correct answers Must be amended for changes to ...
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Series 79 question n answers rated A+
- Exam (elaborations) • 34 pages • 2024
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Series 79 
Primary Markets - correct answer Sale of securities directly from issuers to investors. IPO; weekly auction of treasury bills 
 
Secondary Markets - correct answer exchange of existing securities between investors. NYSE, etc 
 
Broker-Dealer - correct answer Broker is defined as any person engaged in the business of effecting transactions in securities for the account of others. Dealer is defined as any person engaged in the business of buying and selling securities for its own accoun...
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Series 24 || All Questions Answered Correctly.
- Exam (elaborations) • 5 pages • 2024
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Reg M Rule 103 correct answers MM also a syndicate member elects to function as passive mm 
- Notification to Nasdaq 1 biz day before restricted period 
- Identifier PSMM must be used 
- Passive bids no higher than highest indep. bid 
- Indep market must exist 
- Subject to limit order display rule 
 
6 Year Filings correct answers Blotters (Day book, journal, diary) 
General Ledgers 
Stock Record 
Statements 
Customer Account Records 
Principal designation record 
 
Series 22 correct answers Al...
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Series 79 questions and answers graded A+ 2024
- Exam (elaborations) • 67 pages • 2024
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Series 79 
SEC Rule 14d-10 - correct answer provides for equal treatment of shareholders in a tender offer, and is also called the best price rule. A bidder is required to treat shareholders equally by making the offer open to all of them for the same period, and at the same price. An exception or safe harbor is granted for changes in comp arrangements for executives of the company provided that the arrangements are made by a majority of independent board members. The board will perform this fun...
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