100% satisfaction guarantee Immediately available after payment Both online and in PDF No strings attached
logo-home
Previously searched by you
Previously searched by you
logo
FINRA Series 24 Questions with complete solution 2024/2025 $13.49   Add to cart
Quickly navigate to
Preview
  2.  
  3. SERIES 24
  4.  
  5. SERIES 24

Exam (elaborations)

FINRA Series 24 Questions with complete solution 2024/2025
 0 view  0 purchase
  • Course
  • SERIES 24
  • Institution
  • SERIES 24

FINRA Series 24 Questions with complete solution 2024/2025 FINRA Series 24 (times and/or deadlines for reporting & filing) Spot checks on BD by FINRA can happen - correct answer Anytime Sell out occurs if seller doesn't receive money from buying firm w/o notice after regular way settlement...

[Show more]

Preview 2 out of 15  pages

Document information

  • September 27, 2024
  • 15
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

Subjects

Written for

  • SERIES 24
  • SERIES 24

Seller

avatar-seller
Academia199

Reviews received

Content preview

FINRA Series 24 (times and/or deadlines
for reporting & filing)
Spot checks on BD by FINRA can happen - correct answer ✔Anytime


Sell out occurs if seller doesn't receive money from buying firm w/o notice
after regular way settlement - correct answer ✔Anytime


ACAT form must be sent to old BD from new BD when - correct answer
✔Immediately


Coordination registration when SEC clears issue (blue sky) effective - correct
answer ✔Immediately


PIPE(private investment in public equity) issuer files registration statement w/
SEC after closing of offering when - correct answer ✔Immediately


REG S sales made to any SEC-designated offshore securities market
reported - correct answer ✔Immediately


REG FD issues make nonpublic info available to public if intentionally giving
out to analyst must make public when - correct answer ✔Immediately


Display customer limit order that improves market makers quote - correct
answer ✔Immediately


Calculation for violation of Net Cap rules reported - correct answer
✔Immediately

, BD Net Cap calculation after finish of offering reported - correct answer
✔Immediately


Clearing firm forwards complaint from customer regarding IBD to FINRA &
IBD - correct answer ✔Immediately


Restricted period for actively traded securities - correct answer ✔None


Time limit for stabalization - correct answer ✔None


Regulatory Reporting requirement for Pink Sheet company - correct answer
✔None


Prospectus Requirement for APO Listed / Nasdaq offering - correct answer
✔None


OATs Reporting to FINRA - correct answer ✔Daily


All fully paid securities under possession or control of BD reported - correct
answer ✔Daily


Update "easy-to-borrow list" for short selling - correct answer ✔Every 24
hours


ACAT form validated by delivering BD within - correct answer ✔1 business
day

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 Academia199. Stuvia facilitates payment to the seller.

Will I be stuck with a subscription?

No, you only buy these notes for $13.49. You're not tied to anything after your purchase.

Can Stuvia be trusted?

4.6 stars on Google & Trustpilot (+1000 reviews)

75619 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
$13.49
  • (0)
  Add to cart