100% satisfaction guarantee Immediately available after payment Both online and in PDF No strings attached
logo-home
Series 24 questions with verified answers $12.99   Add to cart

Exam (elaborations)

Series 24 questions with verified answers

 7 views  0 purchase
  • Course
  • Series 24
  • Institution
  • Series 24

Series 24 questions with verified answers

Preview 2 out of 8  pages

  • September 24, 2024
  • 8
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers
  • Series 24
  • Series 24
avatar-seller
BravelRadon
Series 24

Reg M Rule 103 - correct answer ✔✔MM also a syndicate member elects to function as passive mm

- Notification to Nasdaq 1 biz day before restricted period

- Identifier PSMM must be used

- Passive bids no higher than highest indep. bid

- Indep market must exist

- Subject to limit order display rule



6 Year Filings - correct answer ✔✔Blotters (Day book, journal, diary)

General Ledgers

Stock Record

Statements

Customer Account Records

Principal designation record



Series 22 - correct answer ✔✔Allowed to sell DPP's



Foreign Associates Must... - correct answer ✔✔Register with Finra, but are exempt from having to pass
an exam.



Series

27

51

53 - correct answer ✔✔27 = Supervise the preperation of financial reports

51 = Sup. activitives of municipal fund

- such as 529 plan and local govt inv pools only

53 = Sup. purchase of municipal securities

, Kept at OSJ and Supervisory office - correct answer ✔✔Memers written Supervisory Procedures

Finra Manuel - Must be avail to cust.

- Electronically avail ok



Telemarketing Recording Reports sent to Finra... - correct answer ✔✔Quarterly



Advertising and Sales Literature of

Inv Co's, DPP's, Govt. Sec filed... - correct answer ✔✔Within 10 days of first use



Standby Purchasers - correct answer ✔✔In final prospectus

Arrangement in writing

Unable to find other purchasers

STOCK RESTRICTED FOR RESALE = 3 MONTHS



Regulation M - correct answer ✔✔Governs activities of interested parties in outcome of APO. Syn Mem,
MM, Issuers, Officers, etc.



Lifetime Records - correct answer ✔✔Stock Certificate Books

Partnership Articles

Articles of Incorporation

Meeting Minutes



G-37 reports to MSRB sent - correct answer ✔✔Quarterly



Sales literature for 1sy year B/D sent to Finra - correct answer ✔✔10 biz days before first use



Responce to Arbitration request needed within - correct answer ✔✔45 Days

The benefits of buying summaries with Stuvia:

Guaranteed quality through customer reviews

Guaranteed quality through customer reviews

Stuvia customers have reviewed more than 700,000 summaries. This how you know that you are buying the best documents.

Quick and easy check-out

Quick and easy check-out

You can quickly pay through credit card or Stuvia-credit for the summaries. There is no membership needed.

Focus on what matters

Focus on what matters

Your fellow students write the study notes themselves, which is why the documents are always reliable and up-to-date. This ensures you quickly get to the core!

Frequently asked questions

What do I get when I buy this document?

You get a PDF, available immediately after your purchase. The purchased document is accessible anytime, anywhere and indefinitely through your profile.

Satisfaction guarantee: how does it work?

Our satisfaction guarantee ensures that you always find a study document that suits you well. You fill out a form, and our customer service team takes care of the rest.

Who am I buying these notes from?

Stuvia is a marketplace, so you are not buying this document from us, but from seller BravelRadon. Stuvia facilitates payment to the seller.

Will I be stuck with a subscription?

No, you only buy these notes for $12.99. You're not tied to anything after your purchase.

Can Stuvia be trusted?

4.6 stars on Google & Trustpilot (+1000 reviews)

77254 documents were sold in the last 30 days

Founded in 2010, the go-to place to buy study notes for 14 years now

Start selling
$12.99
  • (0)
  Add to cart