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
Series 24 Question and answers verified to pass 2024/2025 $12.99   Add to cart
Quickly navigate to
Preview
  2.  
  3. SERIES 24
  4.  
  5. SERIES 24

Exam (elaborations)

Series 24 Question and answers verified to pass 2024/2025
 0 view  0 purchase
  • Course
  • SERIES 24
  • Institution
  • SERIES 24

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 ...

[Show more]

Preview 2 out of 7  pages

Document information

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

Subjects

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

Written for

  • SERIES 24
  • SERIES 24

Seller

avatar-seller
Academia199

Reviews received

Content preview

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

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 $12.99. 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
$12.99
  • (0)
  Add to cart