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| Name | Series 24 Exam Today? Tomorrow? Pass? Fail? This 60 Minutes May Be the Difference. |
| Video Uploader | Video From Series 7 Guru |
| Upload Date | This Video Uploaded At 03-10-2022 16:01:33 |
| Video Discription | Market making https://youtu.be/YumIKCImIEA Time stamps: 00:00 Intro 1:30 Sales supervision 1:40 FINRA can revoke or suspend registration if fees not paid within 21 days 1:50 Materials changes in the B/D made to FINRA promptly but no later than within 30 days 2:07 Statutory disqualifications 2:20 Firm element CE 2:35 Regulatory CE 2:42 Inactive registration for reservists called to active duty 3:37 OSJs and branches that supervises other branches inspected annually 3:52 Other branches every 3 years 4:00 Supervisory control systems and WSPS 4:50 AML test annually 5:00 Attestation by Chief Compliance Officer that have met with and discussed with the Chief Executive Officer compliance issues 5:13 Business continuity plan 5:38 Emergency contact persons reviewed annually 5:45 U-4, U-5, U-6 7:00 Record retention at the OSJ. Vast majority of records are 3 years. Complaints are 4 years 7:00 Recording calls 7:10 Definition of a branch office 8:00 No more than 25 securities transaction to need to be registered as a branch 8:45 Code of conduct 8:51 "Selling away" 9:11 Sharing in customer accounts only with principal approval and proportionate capital 9:30 Borrowing from customers 9:50 Operating from a bank location 10:05 Continuing commissions 11:22 Correspondence 25 or fewer retail within 30 days can be approved by Principal pre or post distribution 11:47 Retail communication more than 25 within 30 days approved pre distribution 12:00 Filed with FINRA 10 days prior to first use if first year firm or derivatives. Filed within 10 days after first use if established firm 12:35 Instant messaging must be archived 12:44 Research reports 13:15 Control relationships 14:10 Research analyst conflicts 15:25 Code of Procedure. Must respond to the Department of Enforcement within 25 days 16:04 Minor Rule Violation $2,500 17:00 Code of Arbitration. Statute of limitation is 6 years 17:41 Customer accounts 17:52 30 days and 36 months 18:03 CIP require picture ID 18:18 OFAC 18:26 Regulation SP 18:45 Margin accounts 19:22 Rehypothecation limited to 140% of the customer debit balance 20:10 $2,000 minimum 20:26 Pattern Day trader $25K 20:50 ACAT. One business day to validate, 3 days to transfer 21:04 Maximum compensation for DPP roll up is 2% 21:18 Holding statements 21:28 Escrow accounts for contingent offerings 22:51 Restricted persons in IPO allocations 23:08 No reciprocal business dealings 23:24 Regulation M 24:20 Stabilization 24:50 Rule 105 25:00 Reg A 25:20 Rule 147 25:40 Rule 145 25:54 Reg S 26:35 Reg D 27:10 Accreditation standards 27:30 Rule 144 29:15 Tender offers 34:20 Issuer buying its own securities 30:55 B/D self-underwritings 31:55 FINRA Corporate Financing Dept 32:50 Insider Trading 33:10 Fairness opinion 33:45 FTC Hart-Scott-Rodino 34:40 NYSE Rule 72 34:50 Market on Close 3:50 PM 35:11 Form 25 35:45 NASDAQ listing 36:03 Entering quotes on Level III 36:19 Excused withdrawal 37:10 VWAP 37:25 Short interest reporting 37:49 CAT 38:00 T-1 New pending. T-2 News released. T-3 enter quotes 38:25 5% Policy 38:52 Rule NMS. Rule 611, 612, 605, and 606 40:03 Limit order protection 41:40 30 seconds to update display 41:54 No front running 41:55 Regulation SHO 43:13 NON-NASDAQ OTC STOCKS FORM 211 43:35 Piggy backing 44:10 Backing away 44:30 TRACE 45:01 CQS 45:20 Penny stock 46:00 Reverse convertible 47:00 QIB 144A 47:20 NASDAQ Order Book 47:49 Locking and crossing markets 48:56 Price/Time default 49:20 TRF, ADF. OTC reporting 49:41 Sell side reports within 10 seconds 50:46 NASDAQ IPO the POP is the first bid 51:45 Stabilization 52:10 Cooling off period 55:10 Fixed and Variable annuities |
| Category | Education |
| Tags | Education Download MP4 | Education Download MP3 | Education Download MP4 360p | Education Download MP4 480p | Education Download MP4 720p | Education Download MP4 1080p |
