Series 24 Exam General Securities Principal EXPLICATED Practice Questions
Автор: Series 7 Guru
Загружено: 2022-06-17
Просмотров: 6822
Описание:
00:00 Intro
1:43 Customer Identification Procedures (CIP) under the Patriot Act
2:29 Confirmation disclosures
5:37 Quarterly statements unless penny stock them monthly
6:08 Reservist called to active duty
6:54 Transfer Initiation Form
7:17 Prime brokerage
8:38 Loan consent form in a margin account is NOT mandatory
10:44 2X SMA is buying power
12:31 In a new margin account initial purchase is between $2,000 and $4,000 must pay $2,000
13:15 Institutional communications
14:11 Insider Trading red flag
14:49 Pump and dump
15:48 Crossed market
18:42 NASDAQ TRF
19:31 Limit order protection
21:08 Derivatives advertising is prefiled
21:59 Good delivery under the Uniform Practice Code
23:21 Accrued interest
24:14 Due bill on trades just prior to the ex date
25:29 Inside information
25:48 EMMA
27:23 Form D
29:21 Discretionary Authority
30:02 144A QIB (Qualified Institutional Buyer) has $100 million or more in AUM. QIBs can purchase
un registered foreign and domestic securities
31:34 Breakpoint sale
32:11 Variable annuity
32:55 Restricted persons
33:40 506(b)
35:23 Rule 144
36:55 Simplified arbitration
37:33 6 years is the statute of limitations for arbitration
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