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Series 24 questions with verified answers $12.99   Add to cart

Exam (elaborations)

Series 24 questions with verified answers

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Series 24 questions with verified answers

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

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