Series 10 | 1.3

Ausgang

Frage 1 of 1

  Übrige Zeit


0 [{"id":631125,"quiz_id":"30861","answer_id":null,"answerType_id":"2","created_at":"2018-11-28 22:33:03","updated_at":"2018-11-28 22:33:03","questionName":"Match the following registrations with the appropriate description.","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":null,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":631184,"quiz_id":"30861","answer_id":null,"answerType_id":"0","created_at":"2018-11-29 01:34:49","updated_at":"2018-11-29 01:34:49","questionName":"After failing a qualification exam 3 times, how long must an individual wait before attempting the examination again?","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":null,"explanation":"After failing an exam on the first or second attempt, a person must wait 30 days before trying again. After failing 3 consecutive times, the person must wait 180 days before making another attempt.","question_score_id":null,"lang":"","questionAudioPath":null},{"id":631185,"quiz_id":"30861","answer_id":null,"answerType_id":"0","created_at":"2018-11-29 01:40:02","updated_at":"2018-11-29 01:40:02","questionName":"An amendment to Form U4 involving a statutory disqualification requires the submission of an amendment form within:","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":null,"explanation":"An amendment to Form U4 involving a statutory disqualification must be filed promptly. Statement of disqualification is typically a result of disciplinary action by securities industry regulators. Amendments to the form must generally be filed not later than 30 days after the member becomes aware or should have been aware of the changes.","question_score_id":null,"lang":"","questionAudioPath":null},{"id":631188,"quiz_id":"30861","answer_id":null,"answerType_id":"0","created_at":"2018-11-29 01:51:40","updated_at":"2018-11-29 01:51:40","questionName":"The manager of a large branch resigned. The newly appointed branch manager may act as the BOM for how many days without having first passed the appropriate principal level examination?","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":null,"explanation":"The newly appointed branch manager has 90 days to qualify by exam. If the appropriate test has not been passed within 90 days of elevation to branch office manager, functioning as a manager must stop.","question_score_id":null,"lang":"","questionAudioPath":null},{"id":631187,"quiz_id":"30861","answer_id":null,"answerType_id":"0","created_at":"2018-11-29 01:48:36","updated_at":"2018-11-29 01:48:36","questionName":"Registered representatives are obligated to take the regulatory element within how many days of their appropriate anniversary date?","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":null,"explanation":"The regulatory element generally requires all registered persons to complete a computer-based training session within 120 days of the registrant's second registration anniversary, and every 3 years thereafter.","question_score_id":null,"lang":"","questionAudioPath":null},{"id":631189,"quiz_id":"30861","answer_id":null,"answerType_id":"0","created_at":"2018-11-29 01:54:56","updated_at":"2018-11-29 01:54:56","questionName":"Which of the following must be disclosed on the DRPs of a Form U4?","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":null,"explanation":"Restraining orders, temporary or otherwise, must be disclosed on the Disclosure Reporting Pages (DRPs) of the Form U4.","question_score_id":null,"lang":"","questionAudioPath":null},{"id":631186,"quiz_id":"30861","answer_id":null,"answerType_id":"0","created_at":"2018-11-29 01:44:31","updated_at":"2018-11-29 01:44:31","questionName":"If a member learns that information it filed on Form U5 is inaccurate or incomplete, it must file an amended Form U5:","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":null,"explanation":"A member firm must file an amendment Form U5 within 30 days of learning of facts giving rise to the amendment.","question_score_id":null,"lang":"","questionAudioPath":null}]
631125
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600
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Match the following registrations with the appropriate description.

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Series 11

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Allows the registrant to supervise the member's options business; all members engaged in option transactions must have at least one.

Allows the registrant to sell only investment company products sold with a prospectus.

Allows the registrant to supervise most activities of a member firm, including trading, market making, investment banking, and sales; may also approve retail communications.

Allows the registrant to sell securities, but not commodities.

Allows the registrant to supervise transactions in municipal securities; all members firms engaged in municipal business must have at least one.

Allows the registrant to sell only corporate securities.

Allows the registrant to enter unsolicited orders, provide quotes, fill out new accounts forms, and update client information, but not make recommendations or solicit business.


631184
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600
none
631185
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600
none
631188
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600
none
631187
0
600
none
631189
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600
none
631186
0
600
none