Series 10 finra Study guides, Class notes & Summaries
Looking for the best study guides, study notes and summaries about Series 10 finra? On this page you'll find 111 study documents about Series 10 finra.
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Series 7: Regulation (FINRA Rules) Questions and Answers 100% correct 2023
- Exam (elaborations) • 31 pages • 2023
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Series 7: Regulation (FINRA Rules) Questions and Answers 100% correct 2023 
Registered representatives may be compensated based on which of the following? 
 
I Trading commissions paid by the brokerage firm to the representative 
II Trading commissions paid by the customer to the representative 
III Salary paid by the brokerage firm to the representative 
IV Salary paid by the customer to the representative 
I and III 
 
Compensation cannot be paid by the customer to the registered representativ...
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Series 7 Exam Questions & Answers 2023/2024
- Exam (elaborations) • 16 pages • 2023
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Series 7 Exam Questions & Answers 2023/2024 
 
A registered principal or registered representative must retake the qualifying exam if his or her registration has been revoked or terminated for a period of ____________ or more. 
A.) 1 year 
B.) 5 years 
C.) 3 years 
D.) 2 years - ANSWER-D.) 2 Years 
 
A member may maintain a representative registration for which of the following persons?I. A person who performs legal, compliance, or internal audit functions for the memberII. A person who performs...
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CFP Practice Test 2023
- Exam (elaborations) • 76 pages • 2023
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CFP Practice Test 2023 
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. Disclose and Manage Conflicts of Interest ...
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Regulations: FINRA Questions and Answers 100% correct 2023
- Exam (elaborations) • 11 pages • 2023
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Regulations: FINRA Questions and Answers 100% correct 2023 
Registered Representative 
-Anyone who places securities transactions for customer 
-Anyone who makes recommendations/ determines suitability 
-"Registered" because they will have to pass a series of exams (Series 7, 63 or 66) 
 
 
 
Sales Assistant 
-Someone who writes an order ticket 
-Can't make commission or open any kind of accounts 
-Need to pass series 11 
-Can Take new account information and Accept an unsolicited order (not ...
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NC Life insurance state exam study guideline already graded A+
- Exam (elaborations) • 16 pages • 2024
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NC Life insurance state exam study guideline already graded A+ 
Term Insurance 
Used for Temporary Situations. Net cost highest in the long run. Premiums goes up every year based on current (attained)age. 
 
 
Term Insurance 
Expire's at a certain age/Time in the future. May be renewable up to a certain age or date with out a phyical Exam. 
 
 
Level Term Insurance 
Term insurance can be Renewed annually. Has a level Face Amount at renewal, Premiums goes up. Can be purchased for a Year or as o...
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Life & Health Insurance Exam Colorado Questions with Correct Solutions Rated A+
- Exam (elaborations) • 17 pages • 2023
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Traditional Whole Life - -Ordinary (Straight) Life 
-Limited-Pay & Single-Premium Whole Life 
-Adjustable Whole Life 
 
Ordinary (Straight) Life - -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 
-Insurer keeps the cash value if death to offset risk 
-Lowest net cost in long run 
-Client has access to...
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SIE Exam study guide 2023/24 with complete solutions
- Exam (elaborations) • 26 pages • 2023
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Do common stock holders have to right to inspect all books of a company? 
No, only certain items suchs as the income statement and balance sheet 
 
 
 
Order of asset distribution 
Taxes 
Secured debt 
Unsecured debt 
Preferred stock holders 
Common stock holders 
 
 
 
What type of corporate security is considered the riskiest? 
Common stock 
 
 
 
Of all securities, common stock has historically 
Provided the best hedge against inflation, best capital appreciation potential 
 
 
 
Classificati...
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NC Life insurance state exam study guideline
- Exam (elaborations) • 16 pages • 2024
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NC Life insurance state exam study guideline 
Term Insurance 
Used for Temporary Situations. Net cost highest in the long run. Premiums goes up every year based on current (attained)age. 
 
 
Term Insurance 
Expire's at a certain age/Time in the future. May be renewable up to a certain age or date with out a phyical Exam. 
 
 
Level Term Insurance 
Term insurance can be Renewed annually. Has a level Face Amount at renewal, Premiums goes up. Can be purchased for a Year or as often as 5, 10, 15, ...
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Green light 1 Exam Practice Questions and Answers | 100% Pass
- Exam (elaborations) • 24 pages • 2024
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Green light 1 Exam Practice Questions 
and Answers | 100% Pass 
A 529A or ABLE account is permitted for which of the following persons ? 
A person who is receiving retirement benefits 
A person who has a significant disability 
A person who is a minor 
A person who is saving for college - Answer️️ -A person who has a significant 
disability 
A registered representative has recently passed the Series 7 Examination . If the RR 
conducts business in five states , she is required to: 
Register i...
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NC Life insurance state exam study guideline
- Exam (elaborations) • 16 pages • 2024
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- $10.49
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NC Life insurance state exam study guideline 
Term Insurance 
Used for Temporary Situations. Net cost highest in the long run. Premiums goes up every year based on current (attained)age. 
 
 
Term Insurance 
Expire's at a certain age/Time in the future. May be renewable up to a certain age or date with out a phyical Exam. 
 
 
Level Term Insurance 
Term insurance can be Renewed annually. Has a level Face Amount at renewal, Premiums goes up. Can be purchased for a Year or as often as 5, 10, 15, ...
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