Finra rules test - Study guides, Class notes & Summaries

SIE Regulations (FINRA Rules) Exam Questions and Answers Graded A FULL Test Bank.

Finra Rules Test

Finra Rules Test

Finra Rules Test

FINRA Rules test 1.

Conduct and Practices Handbook (CPH) Exam 136 Questions with Answers Duty of care - CORRECT ANSWER This refers to obligation #3 of registered representative (RR) about acting honestly, in good faith, and in a professional manner. This is a requirement to provide advice to clients with those attributes in mind along with the proper skills and knowledge to do so. It is important to note that the standard of care provided is not a standard of perfection. RRs are usually held to this standard muc...

Branch Office correct answers A location where the member conducts securities or investment banking business that is advertised as such. public appearance correct answers FINRA defines interactive real-time content on blogs, social networking sites and chat rooms as Sales literature correct answers non-interactive (static) content on blogs, social networking sites and chat rooms is defined as If a registered individual is terminated, FINRA must be notified with a U5 Form within: correct...

The Characteristics and Risk of Standardized Options is the official disclosure document that must be provided to option customers at or before account approval. This document is designed to 1. protect investors from market risk. 2. fulfill the prospectus delivery requirements of the Securities Act of 1933. 3. disclose the risk of investing in options. 4. provide useful option strategies. A) III and IV B) I, II, III, IV C) I and II D) II and III Explanation The options clearing cor...

CFP Exam 2024 | 665 QUESTIONS| WITH COMPLETE SOLUTIONS GRADED A+. CFP Standards of Conduct Sections (6) Correct Answer: A. Duties owed to clients. B. Fin. Planning and Application of Practice Standards C. Practice Standards for Fin. Planning Process D. Duties owed to firms/subordinates E. Duties owed to CFP Board F. Prohibition on Circumvention Section A of CFP Standards of Conduct Correct Answer: Duties owed to Client: 1. Fiduciary Duty 2. Integrity 3. Competence 4. Diligence 5. Dis...

SIE Regulations (FINRA Rules) Exam Questions and Answers Graded A FULL Test Bank