Finra pur - Study guides, Class notes & Summaries
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Securities Industry Essentials Exam 2023 Solved 100% Correct
- Exam (elaborations) • 10 pages • 2023
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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
- Exam (elaborations) • 36 pages • 2024
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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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