1 Flashcards
After opening a new account how may days does a firm have to provide the customer with a copu of the account record
30
The regular way ex-dividend date for cash dividends is the what?
2nd business day preceding the record date
Suspicious activity report (SAR) filing is required forsuspicious transactions involving at least how much?
$5,000
what two things descibe SEC rule 15c3-3
customer protection and reserves and custody of securities
Rule 145 exempts what two things from registration?
stock resulting from a stock split or a stock dividend
the delivery of an ADR registered form is governed by the what?
rules if the Uniform Practice Code
Any frelly transferrable stock received by the underwirters as part of the compensation package must be restricted for resale for how long?
180 days fron the effective date
where there is an unsecured debit, a demand for the difference between the contract price and the market price is called a what?
mark to the market
SEC rule 503 requires that issuers of unregistered securites file for D (notice of sale made) with the SEC within how many days?
15 days of the first sale
the code of procedure was created to deal with violations of what three things?
FINRA rules, MSRB rules and federal securities laws
under SE rules, a carrying firm must determine if there is any excess of deficit in customer segregation accounts how often?
daily
MSRB rule G-37 deals with what two things?
negotiated offerings and financial advisory work
copies of temporary subordinated loan agreements must be filed with FINRa when?
10 days before the effective date
under SEC rules, a prospectus in use for maore than 9 months cannot contain information more than how many months old?
16
the costs associated with forwarding proxy material to the beneficial owners of stock held in street name are padi by the what?
issuer
