Regulations finra rules - Study guides, Class notes & Summaries

SIE Regulations (FINRA Rules) Exam Questions and Answers Graded A FULL Test Bank

Series 6 Regulations (FINRA Rules)

In a period of low inflation and economic recession, the Federal Reserve is expected to take which of the following actions? A) Decrease Taxes B) Require banks to increase reserve C) Buy bonds in the open market : Buy bonds in the open market Under FINRA rules which of the following activities by a registered representative requires written notification to her firm? A) Gambling resulting in winnings in excess of $10,000 B) Driving part time for a transportation network company on w...

The enforcement authorities for the U.S. securities markets and market participants include: I FINRA II SEC III MSRB A. I only B. I and II C. II and III D. I, II, III - Answer- The best answer is B. Both FINRA and the Securities and Exchange Commission (SEC) regulate, and have enforcement capability over, the U.S. securities markets and market participants. The Municipal Securities Rulemaking Board creates rules for municipal market participants, but has no enforcement ability - enfo...

SIE Regulations (FINRA Rules)

Regulations - FINRA Rules

Series 6 Regulations (FINRA Rules)

Which of the following investments is the MOST suitable for a person who is interested in aggressive growth? 1) Common Stock 2) High-Yield Bond Fund 3) Preferred Stock 4) High-rated Bond - Answer- A: 1) Common Stock *Of the choices listed, common stock has historically provided the greatest potential for growth *Bonds and preferred stock are typically suitable for investors who are seeking income. When purchasing Treasury notes, an investor should understand: 1) Delivery is in ...

SIE Regulations (FINRA Rules)

Regulations - FINRA Rules