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Question No. 1
Anna Vestor placed an order to sell 100 shares of Microsoft through the on-line site of her broker, GetErDone Broker-Dealers. GetErDone sold her shares for $24.59 a share and charged her a commission of $8.95. Among other things, the trade confirmation that Anna receives must stipulate:
i. the time and date of the transaction.
ii. that GetErDone served as a principal in the transaction.
iii. the number of shares sold and the price at which they were sold.
IV. the exchange or ECN on which the transaction was executed.
A. I and III only
B. I, II and III only C. I, III, and IV only D. I, II, III, and IV
Answer: A
Question No. 2
Ari Gaunt was affiliated with Savvy Investments and was terminated after some of the female representatives associated with Savvy filed sexual harassment complaints against him. Mr. Gaunt believes that he is still due money for some transactions he executed prior to his termination; Savvy believes otherwise. Under FINRA's Code of Arbitration:
A. Ari may either sue Savvy in a civil court of law or submit his claim to arbitration.if Ari submits his claim for arbitration and is unhappy with the panel's decision, he can then sue B. Savvy in a civil court of law.
C. Ari has six years to submit his claim to arbitration.
D. both B and C are true statements.
Answer: C
Question No. 3
Mr. Shortfall placed a market order to buy 100 shares of Google (GOOG) with GetErDone BrokerDealers. The market order was executed at $530 a share. In accordance with Regulation T:
A. Mr. Shortfall must pay for the purchased shares within 3 business days.
B. Mr. Shortfall must pay for the purchased shares within 5 business days.
C. GetErDone can request an extension from FINRA or another SRO for Mr. Shortfall if he is unable to pay for the shares within 5 business days.
D. Both B and C are true statements.
Answer: D
Question No. 4
Upon receiving a complaint about one of its member firms, FINRA may:
i. require any person associated with the member firm to provide information to FINRA and to testify
ii. inspect and copy the books, records and accounts of the member firm.
iii. share information obtained from its investigation of a member firm with a foreign regulatory agency.
A. II only
B. I and II only
C. II and III only
D. I, II, and III
Answer: D
Question No. 5
Chandler is a registered representative with GetErDone Broker-Dealers, a FINRA member-firm. His friend, Phoebe, is employed by FlyByNight Investments, which is not a member of FINRA, or any other securities association for that matter. Given these facts:
A. If Chandler executes any transactions for Phoebe, he is required to charge her the same commission that he charges any member of the general public.
B. Chandler is prohibited from engaging in any financial transactions with Phoebe.
C. Chandler is prohibited from splitting any commissions with Phoebe.
D. Both A and C are true.
Answer: D