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Series 24 Quicksheet Question and answers rated A+ 2024/2025 $13.49   Add to cart
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Series 24 Quicksheet Question and answers rated A+ 2024/2025
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Series 24 Quick sheet Question and answers rated A+ 2024/2025 Series 24 Quicksheet what is the 'grace period' for fees being paid to FINRA? - correct answer 21 days until membership revoked or suspended how long do you need to notify FINRA before making a material change to the firm? - cor...

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  • September 28, 2024
  • 2
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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Series 24 Quicksheet
what is the 'grace period' for fees being paid to FINRA? - correct answer
✔21 days until membership revoked or suspended


how long do you need to notify FINRA before making a material change to the
firm? - correct answer ✔30 days


how long do you have to report an AP having a statutory disqualifying event? -
correct answer ✔promptly to FINRA, no more than 30 days


what leads to statutory DQ from FINRA? - correct answer ✔convicted of
money/securities misdemeanor or any felony within past 10 years


how often must firm element of Continuing Education be completed for
FINRA? - correct answer ✔annually


how often must the regulatory element of FINRA continuing ed be completed?
- correct answer ✔within 120 days of second registration anniversary, and
every 3 years after


what is FINRA rule 3110? - correct answer ✔office of supervisory jurisdiction
(OSJ) and supervising branches inspected annually; non supervisory
branches inspected at least once every three years


what is FINRA rule 3120? - correct answer ✔designated principles must
submit to the member's senior management annually a report detailing system
of supervisory controls, summary of test results, significant identified
exceptions

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