Dissemination of Information (36% of Exam)

Question 1

FINRA Rule 1220(b)(6)

Answer 1

1220(b)(6) – Research Analyst

Question 2

FINRA Rule 435(5)T

Answer 2

435(5)T – Miscellaneous Prohibitions-Circulation of Rumors

Question 3

FINRA Rule 2220

Answer 3

2220 – Options Communications

Question 4

Securities Act of 1933, Section 5(b)(1)(2)

Answer 4

Section 5(b)(1)(2) – Prospectus Requirements – Delivery of Prospectus for New Issues

Question 5

Securities Act of 1933, Section 11

Answer 5

Section 11 – Civil Liabilities on Account of False Registration Statement

Question 6

Securities Act of 1933, Section 12

Answer 6

Section 12 – Civil Liabilities Arising in Connection with Prospectuses and Communication

Question 7

Securities Act of 1933, Section 15

Answer 7

Section 15 – Liabilities of Controlling Persons

Question 8

Securities Act of 1933, Section 17

Answer 8

Section 17 – Fraudulent Interstate Transactions

Question 9

Securities Exchange Act of 1934, Section 9(a)(5)

Answer 9

Section 9(a)(5) – Dissemination of Information for Consideration — Market Manipulation

Question 10

Securities Exchange Act of 1934, Section 15D

Answer 10

Section 15D – Securities Analysts and Research Reports

Question 11

Securities Exchange Act of 1934, 10b-1

Answer 11

10b-1 – Prohibition of Use of Manipulative or Deceptive Devices or Contrivances with Respect to Certain Securities Exempted from Registration

Question 12

Securities Exchange Act of 1934, 10b-3

Answer 12

10b-3 – Employment of Manipulative and Deceptive Devices (by Brokers or Dealers)

Question 13

Securities Exchange Act of 1934, 17a-4

Answer 13

17a-4 – Records to Be Preserved by Certain Exchange Members, Brokers and Dealers

Question 14

SEC Regulation A-R

Answer 14

Regulation A-R – Special Exemptions

Question 15

SEC Regulation M

Answer 15

Activities by Distribution Participant (Research and Excepted Securities)