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Series 24 Question and answers verified to pass 2024/2025 $12.99   Add to cart
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Series 24 Question and answers verified to pass 2024/2025
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Series 24 Question and answers verified to pass 2024/2025 Series 24 - Quick Sheet 15 days - correct answer Membership revoked or suspended if fees are not paid within ___ days of notice 30 days - correct answer Written notice ____ days in advance of any material change to the firm 10 ...

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  • September 28, 2024
  • 7
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

Subjects

  • series 24
  • series 24 question and answers verified to pass 20

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  • SERIES 24
  • SERIES 24

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Series 24 - Quick Sheet
15 days - correct answer ✔Membership revoked or suspended if fees are not
paid within ___ days of notice


30 days - correct answer ✔Written notice ____ days in advance of any
material change to the firm


10 business days - correct answer ✔Must report registered representative
(RR) violations and suspensions within ___ business days


10 years - correct answer ✔SD if convicted of money/securities
misdemeanor or any felony within past ___ years


Annually - correct answer ✔Firm element of Continuing Education (CE) must
be completed


120 days of 2nd registration - correct answer ✔Regulatory Element must be
completed


Military Service - correct answer ✔Re-registration within 90 days of return


NASD RULE 3010 - correct answer ✔OSJ and Supervising branches
inspected annually, non supervising branches at least once every 3 years


NASD RULE 3012 - correct answer ✔Persons inspecting branch must be
independent from branch activities

, Heightened supervision - correct answer ✔producing manager accounts for
20% or more of revenue being reviewed


NASD RULE 3013 - correct answer ✔CEO must certify annually that the firm
has proper supervisory procedures in place and designate CCO


FINRA RULE 4370 - correct answer ✔Business continuity plans must be
disclosed to customers on account opening


Price/Time - correct answer ✔Assumed priority in NASDAQ Book


Non-directed orders - correct answer ✔Must be a market or marketable limit
order


Non-Attributable Orders - correct answer ✔MPID NSDQ


Attributable Orders - correct answer ✔Show firm that entered order


NASDAQ BOOK - correct answer ✔Trading platform for Nasdaq securities


Locking/Crossing orders - correct answer ✔Not displayed; routed for
execution


5 best price levels - correct answer ✔NASDAQ book system shows


Exemptions for firms (Penny Stock rule) - correct answer ✔Revenue is 5% or
less of firm's total revenue

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