Finra series 6 - Study guides, Class notes & Summaries

FINRA Series 6 Question and answers 100% correct 2023

Reg M Rule 103 correct answers MM also a syndicate member elects to function as passive mm - Notification to Nasdaq 1 biz day before restricted period - Identifier PSMM must be used - Passive bids no higher than highest indep. bid - Indep market must exist - Subject to limit order display rule 6 Year Filings correct answers Blotters (Day book, journal, diary) General Ledgers Stock Record Statements Customer Account Records Principal designation record Series 22 correct answers Al...

Life & Health Insurance Exam Colorado Questions and Answers 100% Pass Traditional Whole Life - Correct Answer ️️ --Ordinary (Straight) Life -Limited-Pay & Single-Premium Whole Life -Adjustable Whole Life Ordinary (Straight) Life - Correct Answer ️️ --Until 100 or Death, whichever comes first -Permanent Protection -Rates & benefits based on law of large numbers (Mortality Rate) -Guaranteed, tax-deferred interest rate -Premium level, company's risk goes down as cash value goes up...

Timelines Question and answers correctly solved 2024/2025 Timelines (Series 24) Following a pre-membership interview, how long does FINRA have to approve or deny an application? - correct answer 30 How long after the closing of a customer's account must a broker-dealer preserve records which relate to the terms and conditions with respect to the opening and maintenance of the account? - correct answer 6 Years Blotters must be maintained for: - correct answer 6 Years Most reco...

Series 24 crunch time facts Question and answers correctly solved 2024/2025 Series 24 crunch time facts Chapter 1 - correct answer o The Effective Date of an IPO is determined by the SEC (NOT FINRA or the issuer). o If the SEC sues an issuer and underwriter for false statements and/or material omissions in a prospectus, the customer may still file a lawsuit against both the issuer and the underwriter. o What would preclude an issuer from obtaining WKSI status? Involvement in bankruptcy i...

FINRA Series 6 Exam Questions & Answers 2023/2024 Retail Communication - ANSWER-"any written (including electronic) communication that is distributed or made available to more than 25 retail investors within any 30 calendar-day period. *Preapproval of a principal is required (prior to use). Correspondence - ANSWER-written or electronic communication that is distributed or made available to 25 or fewer retail investors within any 30-calendar-day period **Pre- or post-review of a principa...

FINRA Series 6.

Series 6 Regulations (FINRA Rules).

Series 24 Unit 4 Questions with complete solution 2024/2025 Series 24 Unit 4 FINRA "look back" period rule - correct answer Two years for political contributions, 6 MONTHS for NEWLY COVERED ASSOCIATES. Intended to prevent members from circumventing pay-to-play rule by hiring people who have already made political contributions FINRA pay-to-play rule exceptions - correct answer Associated person, NOT THE FIRM, who makes a financial contribution to a government official who the AP can ...