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Series 24

This class was created by Brainscape user Christopher Oglesby. Visit their profile to learn more about the creator.

By: Christopher Oglesby
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Decks in this class (13)

1. Registration of a Broker-Dealer
Which form is used to register br...,
Which form is used by a registere...,
Which form is used by bds to subm...
38  cards
2. Registration of Associated Persons (APs)
This type of alcohol related traf...,
A s24 principal does not jurisdic...,
The principal responsible for sup...
55  cards
3. Written Supervisory Procedures (WSPs) and Compliance Controls
Where must a copy of a firm s wri...,
How long must wsps be kept 2,
What activities must occur at a o...
35  cards
4. Supervising Associated Persons (APs)
True false outside business activ...,
The rules of outside business act...,
If a rr is engaged in an outside ...
40  cards
5. Supervising Compensation Practices
True false a rr may conduct bd se...,
True false a client may conduct s...,
What is included in the required ...
12  cards
6. Supervising the Delivery of Products and Services Offered by the BD
What are three categories of inve...,
In what circumstances does the 34...,
In context of open ended fund how...
48  cards
7. Disciplinary/Corrective Actions Relating to APs; Potential Violations of Securities Industry Laws, Rules and Regulations; Customer & Industry Disputes
This form of dispute resolution i...,
Simplified arbitration one arbitr...,
How many arbitrators are used for...
27  cards
8. Books and Records of the BD
What is the name for a firm that ...,
If a firm has 20 or more rrs what...,
If a firm has 10 20 rrs what perc...
24  cards
9. Financial Management
A carrying bd must have how much ...,
A firm that has only ______ of it...,
An introducing non carrying bd mu...
50  cards
10. Customer Account Opening and Maintenance Procedures
This law sets forth wireless tran...,
At what amount must bds keep reco...,
What kind of information must be ...
38  cards
11. Communications w the Public
True false if a bd offers an inve...,
When evaluating cmo products prep...,
Retail communications and corresp...
36  cards
12. Customer Recommendations and Disclosures
All retail customers opening marg...,
True false the margin risk disclo...,
True false if retail customers ca...
40  cards
13. Order Entry, Routing and Execution
This is the unlawful practice of ...,
True false odd lot orders may be ...,
_______ was introduced to prevent...
57  cards

More about
Series 24

  • Class purpose General learning

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Series 24 Group Share
  • 42 decks
  • 2929 flashcards
  • 171 learners
Decks: Fc Chapter 1, Fc Chapter 2, Fc Chapter 3, And more!
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