Series 24 sec 2 - Study guides, Class notes & Summaries

Series 24 Question and answers 100% correct 2024/2025 series 24 - Chap 10 - NASDAQ & MARKET MAKING, NYSE MARKET & DESIGNATED MARKET MAKER to be a market maker in a nasdaq security the BD must maintain a file of... - correct answer 1. current information about the compnay - latest annual report and prospectus 2. have reason to believe the companys filings with SEC are current - SEC / Finra approval is not required for someone to make a market in a particular ecurity Market makers in ...

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...

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...

© 2020 Pearson Education, Hoboken, NJ. All rights reserved. Solution Manual for Computer Networking, 8th Edition by James Kurose © 2020 Pearson Education, Hoboken, NJ. All rights reserved. Computer Networking: A Top-Down Approach, 8 th Edition Solutions to Review Questions and Problems Version Date: August 2020 This document contains the solutions to review questions and problems for the 8th edition of Computer Networking: A Top-Down Approach by Jim Kurose and Keith Ross. These s...

BESTQUIZZES COMPREHENSIVE EXIT EXAM – PRIORITY ONE 1. A nurse is assessing a client’s pulmonary artery wedge pressure (PAWP). The nurse should recognize that an elevated PAWP indicates which of the following complications? A. Left ventricular failure B. Cardiogenic shock C. Hypovolemia D. Hypotension 2. A nursing planning care for a school-age child who is 4 hr postoperative following perforated appendicitis. Which of the following actions should the nurse include in the plan ...

Series 24 Question and answers already passed 2024/2025 Series 24 - 1(B) A Florida investor purchases securities under a Rule 147 offering. After six months he may: A) Only sell the shares to a customer who a resident of the state B) Sell the shares to out-of-state customers C) Only sell the shares to an accredited investor D) Only sell the shares to a QIB - correct answer B) Sell the shares to out-of-state customers EC Rule 147 covers an exemption from registration for the sale of se...

© 2020 Pearson Education, Hoboken, NJ. All rights reserved. Computer Networking A Top-Down Approach, 8th Edition by James Kurose © 2020 Pearson Education, Hoboken, NJ. All rights reserved. Computer Networking: A Top-Down Approach, 8 th Edition Solutions to Review Questions and Problems Version Date: August 2020 This document contains the solutions to review questions and problems for the 8th edition of Computer Networking: A Top-Down Approach by Jim Kurose and Keith Ross. These solut...

Series 24 Questions with complete solution 2024/2025 Series 24 1.1 Under SEC Rule 17f-2, an associated person is exempt from the fingerprinting requirement if they submit illegible fingerprint cards on at least how many occasions? - correct answer If 3 fingerprint cards are returned to the member as illegible, that person is exempt from the fingerprinting requirement. What happens when a registered representative has been called into active overseas military duty? - correct answer Wh...

Timelines Question and answers correctly solved 2024/2025 Timelines (Series 24) Following a pre-membership interview, how long does FINRA have to approve or deny an application? - correct answer 30 How long after the closing of a customer's account must a broker-dealer preserve records which relate to the terms and conditions with respect to the opening and maintenance of the account? - correct answer 6 Years Blotters must be maintained for: - correct answer 6 Years Most reco...

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 ...