Series 24 Exam Practice Questions TestGeek
Автор: Series 7 Guru
Загружено: 2022-03-22
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Описание:
Guru20 discount code at http://www.testgeekexamprep.com/ Series 24 TestGeek YouTube • Series 24 Test Concept - Closeouts
Time stamps:
00:00 Introduction
3:01 Principal signature required on new account form'
3:20 Suitability information
3:40 REITs
4:00 DPPs
4:20 Can't short into a tender offer
5:58 Retail advertising or communication
6:33 10 day response to arbitration proceeding
7:31 Buy in after 13 days
8:18 Outside business activities
8:41 Prinicipal signature required
10:50 ACAT
11:49 Stabilization bid
13:05 Statutory disqualification
13:29 Wire record retention for over $3K
13:45 Rule 144
14:53 Unreasonable mark up
16:21 18 months for illiquid investments
17:37 Record retention
18:37 No discretion ina self underwriting or control relationship
19:57 Cordination for interstate offering
20:25 Stabilizing bid
21:02 Entering a quote
23:26 Reg D 506
24:10 DPPs
24:56 Foreign clearing firm
25:30 Research analyst independence
26:22 Rule 144A
27:02 Retail communication
27:25 3 year rexords
27:42 WKSI
28:20 $2,000 minimum in a new margin account
28:44 Arbitration agreement
29:11 Fairness opinion
29:55 Disciplined reps joining a new firm
30:13 Green shoe in a frim commitment underwriting 15%
31:09 Monthly execution report
31:15 Review of accounts held elsewhere
31:22
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