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0 [{"id":630983,"quiz_id":"30849","answer_id":null,"answerType_id":"2","created_at":"2018-11-28 19:02:17","updated_at":"2018-11-28 22:02:06","questionName":"Tape recording of registered persons is required if a member hires representatives that were previously associated with a disciplined firm. The criteria under FINRA Rule 3170 and MSRB Rule G-27 are as follows:","questionTimeSeconds":"0","questionTimeMinutes":"5","questionImagePath":null,"position":5,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":630982,"quiz_id":"30849","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 18:42:21","updated_at":"2018-11-28 22:02:06","questionName":"According to FINRA Rule 3110, records relating to inspections should be kept for how long?","questionTimeSeconds":"0","questionTimeMinutes":"3","questionImagePath":null,"position":11,"explanation":"FINRA rule 3110 requires, among other things, that OSJs and the lines of business in which they engage be inspected and reviewed annually. Branches that supervise one or more non-branch locations, must also be inspected annually. Branches that do not supervise other locations must be inspected only once every 3 yrs. Records related to all inspections must be kept for at least 3 yrs.","question_score_id":null,"lang":"","questionAudioPath":null},{"id":631087,"quiz_id":"30849","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 21:55:22","updated_at":"2018-11-28 22:02:06","questionName":"What are \"Booster Shots\"?","questionTimeSeconds":"0","questionTimeMinutes":"5","questionImagePath":null,"position":3,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":630972,"quiz_id":"30849","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 18:32:06","updated_at":"2018-11-28 22:02:06","questionName":"Rule 3012 requires that a firm's supervisory control policies and procedures include specific review of which following activities?","questionTimeSeconds":"0","questionTimeMinutes":"3","questionImagePath":null,"position":10,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":630986,"quiz_id":"30849","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 19:12:35","updated_at":"2018-11-28 22:02:06","questionName":"FINRA Rule 2241 addresses what concern?","questionTimeSeconds":"0","questionTimeMinutes":"5","questionImagePath":null,"position":7,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":630984,"quiz_id":"30849","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 19:05:09","updated_at":"2018-11-28 22:02:06","questionName":"Tape recording of registered persons is required if a member hires representatives that were previously associated with a disciplined firm. All tape recordings and quarterly reports to FINRA should be maintained for how long?","questionTimeSeconds":"0","questionTimeMinutes":"5","questionImagePath":null,"position":6,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":630969,"quiz_id":"30849","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 18:28:42","updated_at":"2018-11-28 22:02:06","questionName":"The supervisory procedures for a firm must provide for the review of incoming and outgoing written (including electronic) correspondence and internal communications relating to the member's investment banking or securities business.","questionTimeSeconds":"0","questionTimeMinutes":"3","questionImagePath":null,"position":9,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":631058,"quiz_id":"30849","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 21:26:26","updated_at":"2018-11-28 22:02:06","questionName":"How long after an IPO must a member, who participated as an underwriter, wait to publish research reports or have analysts make public appearances? \r\nAlso known as the \"Quiet (Blackout) Period\"","questionTimeSeconds":"0","questionTimeMinutes":"5","questionImagePath":null,"position":0,"explanation":"EXCEPTIONS: \r\n1) If there is a significant new event affecting the subject company, firms may issue research reports and analysts may make public appearances during the Blackout Period, as long as they are authorized by legal or compliance.\r\n2) If the subject company is already being actively traded (as defined by Reg M), SEC Rule 139 allows research to be issued and public appearance to be made - applicable to additional issue offerings.","question_score_id":null,"lang":"","questionAudioPath":null},{"id":631075,"quiz_id":"30849","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 21:39:18","updated_at":"2018-11-28 22:02:06","questionName":"What restrictions do rules impose on trading activity by analysts that prepare research and their household members?","questionTimeSeconds":"0","questionTimeMinutes":"5","questionImagePath":null,"position":2,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":631092,"quiz_id":"30849","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 21:58:20","updated_at":"2018-11-28 22:02:06","questionName":"If a member firm decides to terminate coverage of a subject company, they must either publish a final research report comparable in scope and detail to prior reports, or if impractical to do so (e.g the analyst covering the company has left the firm) then a final research report must disclose the member's rationale for its decision to terminate coverage.","questionTimeSeconds":"0","questionTimeMinutes":"5","questionImagePath":null,"position":4,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":630987,"quiz_id":"30849","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 19:15:50","updated_at":"2018-11-28 22:02:06","questionName":"Under FINRA rule 2241, investment banking personnel may review a research report before issuance only to verify the factual accuracy of information and to identify any potential conflicts of interest. However, any communication in this regard between investment bankers and analyss must be made through a legal or compliance official of the member firm.","questionTimeSeconds":"0","questionTimeMinutes":"5","questionImagePath":null,"position":8,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":631063,"quiz_id":"30849","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 21:28:12","updated_at":"2018-11-28 22:02:06","questionName":"How long after a secondary offering must a member, who participated as an underwriter, wait to publish research reports or have analysts make public appearances? \r\nAlso known as the \"Quiet (Blackout) Period\"","questionTimeSeconds":"0","questionTimeMinutes":"5","questionImagePath":null,"position":1,"explanation":"EXCEPTIONS: \r\n1) If there is a significant new event affecting the subject company, firms may issue research reports and analysts may make public appearances during the Blackout Period, as long as they are authorized by legal or compliance.\r\n2) If the subject company is already being actively traded (as defined by Reg M), SEC Rule 139 allows research to be issued and public appearance to be made - applicable to additional issue offerings.","question_score_id":null,"lang":"","questionAudioPath":null}]
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Tape recording of registered persons is required if a member hires representatives that were previously associated with a disciplined firm. The criteria under FINRA Rule 3170 and MSRB Rule G-27 are as follows:

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5-9 RRs Employed

10-19 RRs Employed

20+ RRs Employed

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4 or more of RRs from Disciplined Firms

40% or more of RRs from Disciplined Firms

20% or more of RRs from Disciplined Firms


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