Series 24 Exam General Securities Principal EXPLICATED Practice Questions скачать в хорошем качестве

Series 24 Exam General Securities Principal EXPLICATED Practice Questions

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