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Series 10 Exam Study Guide with Complete Solutions
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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD OWNER: EMILLYCHARLOTTE COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED FIRST PUBLISHED: SEPTEMBER 2024 1/16 Series 10 Exam Study Guide with Complete Solutions New Stock in registration phase.... - Answer️️ -RR may NOT send...

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  • September 25, 2024
  • 16
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • series 10 exam study guide with complete solutions

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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

Series 10 Exam Study Guide with
Complete Solutions

New Stock in registration phase.... - Answer✔️✔️-RR may NOT send out report! This

would constitute an offer.

Under Rule 144, a customer wishing to sell must file 144 'Notice of Sale' with SCC -

Answer✔️✔️-Concurrent with placement of the sale order

Allowed prior to the filing of the Registration statement - Answer✔️✔️-NOTHING!

No Rule 144? - Answer✔️✔️-No filing is required if the sale amount every 90 days does

not exceed 5000 shares nor more than $50,000.

3 Year Records - Answer✔️✔️-Order Tickets

Communications to Customers

Customer complaints (CBOE )

Advertising.

6 Year Records - Answer✔️✔️-Customer Acct Statements

Trade Bloggers

Cash receipts (disbursement blotters)

District Hearing Panel - Answer✔️✔️-Customer files standard complaint form, which is

forwarded to DHP.



1/16

,TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
Panel renders dicision within 60 days

A registered rep is fined more than $2500 - Answer✔️✔️-This must be filed (reported)

promptly with FINRA (NO LATER THAN 30 DAYS after event)



This is a reportable event.

Rule 147 - Answer✔️✔️-Intrastate offerings cannot be resold out of state for 9 months

after sale date.

Requirements of Rule 147 - Answer✔️✔️-The issuer must obtain proof of residency from

each purchaser. The issuer must place a restriction legend on the certificates. The

issuer must be a resident of that state.

Rule 10b-2 - Answer✔️✔️-Prohibits underwriter, issuer, or participant in a new issue

distribution from placing buy orders for the issue, buying the issue, or taking options

positions on the issue in the aftermarket.

Who is prohibited from buying an IPO of an equity security under Rule 5130? -

Answer✔️✔️-Portfolio Manager of an Investment Company and a Portfolio Manager of

Insurance Company (Investment Co. and Insurance Co. CAN buy an IPO).

The FINRA IPO Policy that prohibits industry "insiders" from buying new equity issues

applies to: - Answer✔️✔️-NEW COMMON ISSUES

(it does NOT apply to Debt offerings, Secondary Common stock distributions, and

Private placements under Reg D.)



2/16

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
Orders that are placed below the market... - Answer✔️✔️-.... are reduced on ex-date, for

cash dividends. (OBLOSS).

Orders that are placed above the market.... - Answer✔️✔️-.... are not reduced on ex-date

for cash dividends. (OSLOBS).

If there is a stock dividend or stock split... - Answer✔️✔️-then all open orders will be

adjusted.

Stock dividends that result in round lots (NYSE): - Answer✔️✔️-Number of shares

Increased and Price reduced.

Stock splits that result in Odd Lots (NYSE): - Answer✔️✔️-Number of Shares STAYS

THE SAME, and the price is still reduced.

If there is a reverse split (NYSE): - Answer✔️✔️-All open orders and cancelled.

Commission on OTC and Exchange Agency Trades - Answer✔️✔️-COMMISSION

DISCLOSED!

Mark-up on OTC Principal Transactions in NASDAQ Issues - Answer✔️✔️-MARK-UP

DISCLOSED!

Non-NASDAQ OTC Principal Transactions - Answer✔️✔️-Mark-up NOT disclosed!

Max sales charge on Fund that DOES NOT impose 12b-1 fee: - Answer✔️✔️-8 1/2 %

ABC corporation has 18,000,000 shares outstanding. An officer of ABC wishes to sell

ABC stock on November 15th. The prior weeks' trading volumes are:

Week Ending Volume

3/16

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