Series 10 | 1.6 & 1.7

Exit

Question 1 of 1

  Time Left


0 [{"id":632410,"quiz_id":"30893","answer_id":null,"answerType_id":"0","created_at":"2018-11-30 17:19:56","updated_at":"2018-11-30 17:54:50","questionName":"In connection with any investigation, complaint, or examination by FINRA, the association can require a member firm or any person associated with a member to:","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":0,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":632424,"quiz_id":"30893","answer_id":null,"answerType_id":"0","created_at":"2018-11-30 17:59:44","updated_at":"2018-11-30 17:59:44","questionName":"Any person in the country can serve as an arbitrator so long as they complete the FINRA Arbitration Training Course and have never worked in the securities or futures industries.","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":null,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":632415,"quiz_id":"30893","answer_id":null,"answerType_id":"0","created_at":"2018-11-30 17:34:33","updated_at":"2018-11-30 17:54:50","questionName":"If an offer of settlement is ultimately rejected, it may not be introduced as evidence at the hearing.","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":4,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":632411,"quiz_id":"30893","answer_id":null,"answerType_id":"0","created_at":"2018-11-30 17:22:33","updated_at":"2018-11-30 17:54:50","questionName":"If a member or associated person fails to comply with any FINRA investigation, the National Adjudicatory Council (NAC), after providing written notice of how long, can suspend a member and revoke the registrations of any associated persons.","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":1,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":632412,"quiz_id":"30893","answer_id":null,"answerType_id":"0","created_at":"2018-11-30 17:28:30","updated_at":"2018-11-30 17:54:50","questionName":"How long does a respondent have to reply to a hearing panel and receiving a complaint?","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":2,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":632420,"quiz_id":"30893","answer_id":null,"answerType_id":"0","created_at":"2018-11-30 17:46:16","updated_at":"2018-11-30 17:54:50","questionName":"What is the effective date of sanctions?","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":8,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":632416,"quiz_id":"30893","answer_id":null,"answerType_id":"0","created_at":"2018-11-30 17:36:42","updated_at":"2018-11-30 17:54:50","questionName":"What is the time frame under which a prehearing conference must be held after the receipt of a respondent's answer to a complaint?","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":5,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":632418,"quiz_id":"30893","answer_id":null,"answerType_id":"0","created_at":"2018-11-30 17:43:54","updated_at":"2018-11-30 17:54:50","questionName":"Under the Code of Procedure, what are some possible sanction a member or associated person could incur?","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":7,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":632413,"quiz_id":"30893","answer_id":null,"answerType_id":"0","created_at":"2018-11-30 17:30:07","updated_at":"2018-11-30 17:54:50","questionName":"If a respondent does not reply to the hearing council within 25 days the Department of Enforcement will send a secondary notice. How long after receipt of this secondary notice is a response required?","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":3,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":632425,"quiz_id":"30893","answer_id":null,"answerType_id":"0","created_at":"2018-11-30 18:04:07","updated_at":"2018-11-30 18:04:07","questionName":"Statute of limitations on unresolved disputes is 6 years from the event giving rise to the claim.","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":null,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":632423,"quiz_id":"30893","answer_id":null,"answerType_id":"0","created_at":"2018-11-30 17:57:41","updated_at":"2018-11-30 17:57:41","questionName":"TO initiate proceedings any party to an unresolved dispute need to file a Statement of Claim with the Director of Arbitration of FINRA.","questionTimeSeconds":"0","questionTimeMinutes":"9","questionImagePath":null,"position":null,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":632421,"quiz_id":"30893","answer_id":null,"answerType_id":"0","created_at":"2018-11-30 17:47:33","updated_at":"2018-11-30 17:54:50","questionName":"How many days does either side have to make an appeal to the NAC if displeased with a hearing decision?","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":9,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":632422,"quiz_id":"30893","answer_id":null,"answerType_id":"0","created_at":"2018-11-30 17:53:42","updated_at":"2018-11-30 17:54:50","questionName":"Uniform Code of Arbitration - today virtually all new account opening forms contain a pre-dispute clause that must be signed by customers requiring that unresolved customer disputes to be heard under the Code of Arbitration. \r\nClass Action, employment discrimination and sexual harassment are not required to be arbitrated.","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":10,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null},{"id":632417,"quiz_id":"30893","answer_id":null,"answerType_id":"0","created_at":"2018-11-30 17:39:20","updated_at":"2018-11-30 17:54:50","questionName":"At a hearing, which resembles a courtroom proceeding, the hearing panel (DOE - Department of Enforcement) goes first, calling witnesses, producing documents, and so forth. Cross-examination of witnesses is permitted. t the conclusion, panelist convene and, within 60 days, render a written decision reflecting the majority view.","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":6,"explanation":"","question_score_id":null,"lang":"","questionAudioPath":null}]
632410
0
600
block

In connection with any investigation, complaint, or examination by FINRA, the association can require a member firm or any person associated with a member to:

Select the correct answer(s).  

(0/0)












632424
0
600
none
632415
0
600
none
632411
0
600
none
632412
0
600
none
632420
0
600
none
632416
0
600
none
632418
0
600
none
632413
0
600
none
632425
0
600
none
632423
0
540
none
632421
0
600
none
632422
0
600
none
632417
0
600
none