Finra purpose Study guides, Class notes & Summaries
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![Conduct and Practices Handbook (CPH) Exam 136 Questions with Answers,100% CORRECT](/docpics/3268638/64df16fcab2e9_3268638_121_171.jpeg)
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Conduct and Practices Handbook (CPH) Exam 136 Questions with Answers,100% CORRECT
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Conduct and Practices Handbook (CPH) Exam 136 Questions with Answers 
 
Duty of care - CORRECT ANSWER This refers to obligation #3 of registered representative (RR) about acting honestly, in good faith, and in a professional manner. This is a requirement to provide advice to clients with those attributes in mind along with the proper skills and knowledge to do so. It is important to note that the standard of care provided is not a standard of perfection. RRs are usually held to this standard muc...
![Primerica Practice Exam Test A 75 Questions & Answers 2023](/docpics/63e4d7d7d8a8c_2353137.jpg)
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Primerica Practice Exam Test A 75 Questions & Answers 2023
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Primerica Practice Exam Test A 75 Questions & 
Answers 2023 
1. An annuity that is purchased with a lump sum premium and whose benefits begin 
after 12 months is called a: 
A. Single premium immediate annuity. 
B. Single premium deferred annuity. 
C. Level premium variable annuity. 
D. Flexible premium fixed annuity. - Correct answer-Single premium deferred annuity 
2. A technique used to determine the amount of life insurance needed by focusing on 
the projected earning potential of an insured ...
![Series 79 Knopman Marks question n answers 2024](/docpics/4450362/65c4d68fa96fc_4450362_121_171.jpeg)
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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...
![SIE Exam Latest Updated Graded A](/docpics/641af10cbdfec_2501401.jpg)
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SIE Exam Latest Updated Graded A
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What type of risk is unique to a specific industry, business enterprise, or investment type? - ANSWER-Nonsystematic risk 
 
Under which of the following circumstances is an investor in a position to acquire stock? - ANSWER-Buy a call, sell a call (The holder of a call has the right to buy stock at the strike price if exercised. The seller of a put is obligated to buy stock at the strike price if exercised) 
 
Options- a premium - ANSWER-the cost of an option contract, expressed in dollars per sh...
![Primerica - Exam test Questions With 100% Correct Answers 2023](/docpics/63e4d9b886531_2353172.jpg)
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Primerica - Exam test Questions With 100% Correct Answers 2023
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Primerica - Exam test Questions With 
100% Correct Answers 2023 
An insurer has made all of the decisions regarding the provisions included in the 
insured's policy. The insured finds an objectionable provision and wants to negotiate it 
with the insurer but is not allowed to do so. Her only options are to reject the policy or 
accept it as is. Which contract feature does this describe? 
a) Unilateral 
b) Conditional 
c) Personal 
d) Adhesion - Correct answer-Adhesion 
An insurance policy that ...
![SIE FINRA Exam questions and answers 2024 update](/docpics/4268604/65a9bc0a82b2c_4268604_121_171.jpeg)
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SIE FINRA Exam questions and answers 2024 update
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SIE FINRA Exam questions and answers 2024 updateSIE FINRA Exam questions and answers 2024 update 
 
The Federal regulatory body that governs the securities industry is: >>>The SEC 
A fully disclosed BD: >>>is an inducing firm clearing its transactions through a carrying firm 
 
An intermediary between the buy and sell sides of a transaction is known as >>>a clearing agent 
 
For the Depository Trust and Clearing Corporation (DTCC), all of the following are true EXCEPT:...
![SIE FINRA Exam questions and answers 2024 update](/docpics/4268610/65a9bcf74a789_4268610_121_171.jpeg)
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SIE FINRA Exam questions and answers 2024 update
- Exam (elaborations) • 212 pages • 2024
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SIE FINRA Exam questions and answers 2024 updateSIE FINRA Exam questions and answers 2024 update 
 
The Federal regulatory body that governs the securities industry is: >>>The SEC 
A fully disclosed BD: >>>is an inducing firm clearing its transactions through a carrying firm 
 
An intermediary between the buy and sell sides of a transaction is known as >>>a clearing agent 
 
For the Depository Trust and Clearing Corporation (DTCC), all of the following are true EXCEPT:...
![CFP Exam 2024 | 665 QUESTIONS| WITH COMPLETE SOLUTIONS GRADED A+.](/docpics/4202030/65a047eb30c56_4202030_121_171.jpeg)
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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...
![SIE FINRA Exam questions and answers 2024 update](/docpics/4268613/65a9bd6be5b73_4268613_121_171.jpeg)
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SIE FINRA Exam questions and answers 2024 update
- Exam (elaborations) • 212 pages • 2024
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SIE FINRA Exam questions and answers 2024 update 
SIE FINRA Exam questions and answers 2024 update 
 
The Federal regulatory body that governs the securities industry is: >>>The SEC 
A fully disclosed BD: >>>is an inducing firm clearing its transactions through a carrying firm 
 
An intermediary between the buy and sell sides of a transaction is known as >>>a clearing agent 
 
For the Depository Trust and Clearing Corporation (DTCC), all of the following are true EXCEP...
![FINRA SIE 2023-2024 TESTBANK QUESTIONS WITH ALL CORRECT ANSWERS](/docpics/4393515/65bba8767d775_4393515_121_171.jpeg)
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FINRA SIE 2023-2024 TESTBANK QUESTIONS WITH ALL CORRECT ANSWERS
- Exam (elaborations) • 111 pages • 2024
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FINRA SIE TESTBANK QUESTIONS WITH ALL CORRECT ANSWERS 
The Federal regulatory body that governs the securities industry is: - ANSWER The SEC 
 
A fully disclosed BD: - ANSWER	is an inducing firm clearing its transactions through a carrying firm 
 
An intermediary between the buy and sell sides of a transaction is known as - ANSWER a clearing agent 
 
For the Depository Trust and Clearing Corporation (DTCC), all of the following are true EXCEPT: 
 
a.	it is a member of the Federal Reserve System...
![XCEL FL TEST STUDY GUIDE LATEST UPDATE GRADED A+](/docpics/4267624/65a98ee524962_4267624_121_171.jpeg)
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XCEL FL TEST STUDY GUIDE LATEST UPDATE GRADED A+
- Exam (elaborations) • 33 pages • 2024
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XCEL FL TEST STUDY GUIDE LATEST UPDATE GRADED A+ Which of the following types of health coverage frequently uses a deductible? Major Medical policy 
What kind of Accidental Death and Dismemberment (AD&D) insurance beneficiary requires his/her consent when a change of beneficiary is made? Irrevocable beneficiary 
If a 10-Year Term Life policy contains a Renewability provision, the policy will renew without evidence of insurability 
Under Florida law, a variable annuity policyowner must be notifie...
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