SIE Part 4

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Across
  1. 2. A(n) ______ resignation is assumed to be under circumstances that will not affect future eligibility for employment
  2. 7. Representatives selling only mutual funds, variable annuities, or DPPs are ______ from fingerprinting.
  3. 9. These set out fair and ethical trade practices that member firms and their representatives must follow when dealing with the public.
  4. 11. This may be visited, inspected, and audited at any time by a member firm’s principal, compliance officer or FINRA
  5. 13. This type of disqualification is a disciplinary sanction that will cause an individual to be rejected from registration. An example would be a felony or misdemeanor conviction involving securities or money in the past 10 years.
  6. 15. The MSRB play for pay rules are intended to deal with the selection of ____________
  7. 16. This describes how member violations of the conduct rules will be heard and handled
  8. 19. This type of investment can be made by an associate person without providing written notice to their employing BD if it is for their own account
  9. 22. This governs the resolution of disagreements and claims between members, registered representatives, and the public addressing monetary claims
  10. 24. Complete and truthful ________ is required on all forms when filling out the U-4 form
  11. 26. The ________ member firm is responsible for the supervision of a private securities transaction
  12. 27. this is gaining political favor via contributions made to political parties, elected officials or candidates.
  13. 31. A report listing all written complaints must be filed with FINRA within ______ days of the end of each calendar quarter
  14. 32. This requires all registered persons complete a computer-based training session within 120 days of their second registration anniversary and every three years thereafter
  15. 33. The MSRB has rules to prevent pay to play activities but who enforces these rules?
  16. 34. Items given for a ______ event may exceed the $100 gift limit
  17. 35. The number of year of residency history required on the U4 form
  18. 36. this establishes rules, regulations and membership eligibility standards.
Down
  1. 1. A municipal _______ professional is an associated person of a FINRA member firm engaged in municipal securities underwriting, trading, sales, etc., that involve communication with public investors
  2. 3. The special status of representatives on military leave continues for _____ days after leaving military service
  3. 4. How many years copies of customer complaints and quarterly filings must be retained.
  4. 5. Where customers can access information on all persons currently registered.
  5. 6. If a member firm approves of a private securities transaction that involves compensation, it must treat the transaction as if it is being done on its own behalf and enter the transaction on its own _______ and supervise the associated person during the transaction.
  6. 8. This is who fills out the U5 form
  7. 10. A written statement by a customer alleging a grievance arising out of, or in connection with, a securities transaction.
  8. 12. Dinners, seminars and tickets to sporting events are considered allowable business _______ events
  9. 14. This attempts to sever any connection between the making of contributions and the awarding of municipal securities business by prohibiting the dealer from engaging in municipal securities business with the issuer for two years from the date the contribution was made.
  10. 17. A significant portion of the firm element continuing education should be related to the firm’s normal business activities and relevant to the duties of the _____________
  11. 18. This established the uniform trade practices for BDs to follow when the do business with other member firms
  12. 20. Any sale of securities outside an associated person's regular business and his employing member.
  13. 21. A willful misstatement on the u-4 may result in being ______ from the industry.
  14. 23. If a registered person fails to complete the firm element education requirement, their license may be __________
  15. 25. How many years a license remains active after a registered person leaves the industry
  16. 28. Any person who supervises or manages any part of a member’s investment banking or securities business must be registered as a(n) _________
  17. 29. This requires member firms to prepare an annual in-house training plan.
  18. 30. If a representative leaves for regular military service, his/her license is placed in a special _______ status