Across
- 2. On a second appeal for a COP dispute, the dissatisfied party will go to the _____
- 5. Arbitration decisions are ________
- 8. A member that is a party to a ______ arrangement under which the member conducts broker-dealer services on or off the premises of a financial institution is subject to certain requirements.
- 12. A registered representatives designated supervisor can be charged under the Code of Procedure for ______ to supervise
- 16. The number of years complaints must be kept on file after resolution
- 17. If a registered person decides to step away from a supervisory role but continue to work as a registered representative, a ________ termination can be filed on the Form U5
- 18. If any side is not satisfied with a COP decision, the first appeal can be made to the ______
- 19. For arbitration disputes, if the dispute is for greater than $50,000 up to and including $100,000, the number of arbitrators is usually one. If both parties agree, I can be this number of arbitrators
- 20. The number of days a respondent has to file an answer involving an alleged violation of FINRA rules
- 21. FINRA periodically requests that selected groups of broker-dealers provide for review communications that normally are not subject to the filing requirements. These ____ ____ generally target areas of regulatory concern such as a new type of product or investor protection issue
- 22. The type of complaint that have regulatory standing
- 23. Alleged violations of FINRA rules, MSRB rules and federal securities laws is handle by this
- 24. In regard to variable life or annuity products, there can be no representation that they are _______ investments due to possible surrender charges and/or tax penalties for early withdrawals
- 25. Bond mutual fund volatility rating is a measure of the _________ of the net asset value of a portfolio to changes in market interest rates
- 26. The maximum number of years a membership of a member or an associated person’s registration can be suspended under COP.
- 28. A person who works in the financial field would be considered a ______ arbitrator
- 31. Parties can take a dispute to FINRA’s _________ procedure
- 35. What type of advertisement does not require the firm name to be disclosed
- 36. The number of years the statute of limitations is to submit a claim
- 37. This is a form of plea bargaining under the Code of Procedure
- 38. A person who has a _________ position and does not handle cash or securities does not need to be fingerprinted
- 39. This form will be filled out by the member firm upon your resignation or termination
- 43. FINRA and other regulators will have ________ over a former representative for two years after the filing of the Form U5
- 44. Unlike code of arbitration, Code of Procedure decisions can be ________
- 47. On a third appeal for a COP dispute, the dissatisfied party will go to the _______ court system
- 48. A public _________ is participation in a seminar, webinar, radio or television interview.
Down
- 1. A member may alter the contents of an independently prepared reprint only to make it consistent with ______ standards
- 3. Respondents to an arbitration proceeding have ____ calendar days to respond
- 4. This type of event will reject your registration application
- 6. This type of advertising includes information regarding the securities investments that is offered, the nature of investment companies and services offered in connection with described securities but does not refer to any specific security
- 7. This may focus on an individual stock or sector of the economy and will generally recommend buying, selling or holding an investment
- 9. ________ illustrations cannot be used to project or predict investment results
- 10. Members may indicate FINRA membership on their website provided that a _____ to FINRA’s homepage is in close proximity to the indication of membership
- 11. Used to register as a registered representative with FINRA
- 13. Any person who is involved with sales and/or handles cash and securities must be __________
- 14. A letter sent to a insurance company offering your firms services
- 15. Fingerprint records must be submitted to the _______ department
- 27. If a representative leaves the industry for military service, their license is placed in a special _______ status
- 29. The number of days a representative’s license will remain in a special status once they have returned from military service
- 30. An email to 10 customers would be an example of this type of communication
- 32. All monetary rewards from an arbitration proceeding must be paid within _____ days of the decision date.
- 33. Websites, newspapers, magazines, signs, and billboards are examples of this type of communication
- 34. To supervise associated person’s public appearances, each member firm should establish written _________.
- 36. Any arbitration proceeding involving $50,000 or less is considered ______ arbitration
- 40. A member firm that has completed the first year of registration with FINRA is referred to as a(n) _______ firm.
- 41. When using mediation for resolution of a complaint, it will be settled when the _____ is signed
- 42. The ratings in a bond mutual fund rating cannot describe volatility as a ______ ____.
- 45. This is the primary source of ratings used by the insurance industry
- 46. Use of an online interactive forum by a registered representative must be _____ by a principal