Across
- 2. Where customers can access information on all persons currently registered.
- 5. The number of year of residency history required on the U4 form
- 6. Dinners, seminars and tickets to sporting events are considered allowable business _______ events
- 10. Any sale of securities outside an associated person's regular business and his employing member.
- 12. If a registered person fails to complete the firm element education requirement, their license may be __________
- 15. A written statement by a customer alleging a grievance arising out of, or in connection with, a securities transaction.
- 16. 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.
- 18. These set out fair and ethical trade practices that member firms and their representatives must follow when dealing with the public.
- 20. A willful misstatement on the u-4 may result in being ______ from the industry.
- 22. 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
- 23. Items given for a ______ event may exceed the $100 gift limit
- 25. How many years copies of customer complaints and quarterly filings must be retained.
- 27. this establishes rules, regulations and membership eligibility standards.
- 28. The special status of representatives on military leave continues for _____ days after leaving military service
- 30. This governs the resolution of disagreements and claims between members, registered representatives, and the public addressing monetary claims
- 32. 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.
- 33. 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 _____________
- 34. This requires all registered persons complete a computer-based training session within 120 days of their second registration anniversary and every three years thereafter
Down
- 1. If a representative leaves for regular military service, his/her license is placed in a special _______ status
- 3. This may be visited, inspected, and audited at any time by a member firm’s principal, compliance officer or FINRA
- 4. The MSRB has rules to prevent pay to play activities but who enforces these rules?
- 7. How many years a license remains active after a registered person leaves the industry
- 8. this is gaining political favor via contributions made to political parties, elected officials or candidates.
- 9. A report listing all written complaints must be filed with FINRA within ______ days of the end of each calendar quarter
- 10. 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.
- 11. This established the uniform trade practices for BDs to follow when the do business with other member firms
- 13. Complete and truthful ________ is required on all forms when filling out the U-4 form
- 14. The ________ member firm is responsible for the supervision of a private securities transaction
- 17. This describes how member violations of the conduct rules will be heard and handled
- 19. The MSRB play for pay rules are intended to deal with the selection of ____________
- 21. A(n) ______ resignation is assumed to be under circumstances that will not affect future eligibility for employment
- 22. Any person who supervises or manages any part of a member’s investment banking or securities business must be registered as a(n) _________
- 24. This requires member firms to prepare an annual in-house training plan.
- 26. 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
- 29. Representatives selling only mutual funds, variable annuities, or DPPs are ______ from fingerprinting.
- 31. This is who fills out the U5 form