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Finra pur - Study guides, Class notes & Summaries

Looking for the best study guides, study notes and summaries about Finra pur? On this page you'll find 2 study documents about Finra pur.

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Securities Industry Essentials Exam 2023 Solved 100% Correct

  • Securities Industry Essentials Exam 2023 Solved 100% Correct

  • Exam (elaborations) • 10 pages • 2023
  • Available in package deal
    • Broker-Dealer that doesn't comply is subject to: - ANSWER--censure -limits on activities -suspension -revocation of reg -fine FINRA - ANSWER-regulates all matters related to investment banking, trading in the OTC market, trading in the NYSE listed securities, and the conduct of FINRA member firms and associated persons FINRA Purpose - ANSWER--promote investment banking and securities business -provide medium for communication among its members -adopt, admin, and enforce rules design...
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Series 10 (Practice exams 1 & 2) Questions and Answers 100% Correct

  • Series 10 (Practice exams 1 & 2) Questions and Answers 100% Correct

  • Exam (elaborations) • 36 pages • 2024
  • Available in package deal
    • Series 10 (Practice exams 1 & 2) Questions and Answers 100% Correct C - Answer️️ -All investment company advertising must be filed with FINRA: A 10 business days prior to 1st use B 10 business days prior to use for the 1st year of operations; no filing is required thereafter C 10 business days after 1st use D 10 business days after 1st use for the 1st year of operations; no filing is required thereafter C - Answer️️ -A registered representative works from her home office,...
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