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FINRA Rule 3241 is designed to address the potential conflicts of interest that can arise when a registered person is named as a beneficiary, Trustee, or executor of a client’s estate. The intent of this rule is to ensure that registered individuals act appropriately and that the employing member carefully supervises the actions of registered […]
Many test-takers who are preparing for the series 10 exam find the MSRB confirmation requirements to be particularly challenging. There are many reasons this area causes test takers so much anxiety. First off, most representatives do not transact a significant amount of business in any of these municipal securities. Secondly, the rules and regulations regarding […]
In this article we are going to review a significant amount of information relating to the supervision of retail communications. As you prepare to take your principal level exam, you will want to make sure that you have mastered these topics. This information has been taken directly from our textbooks, video lectures and feedback from […]
In this article we are going to detail a number of the best practices students should employ when preparing to take the series 10 exam. We will include the answers to many questions students ask when preparing to take the General Securities Sales Supervisor Examination and we will show you some examples of student feedback […]
Your firm is a market maker and is participating in an offering of securities as a syndicate member. You firm is acting as a passive market maker and has purchased 12,000 shares which is 98% of its ADTV. An order comes into the firm’s trading desk to sell 3,000 shares at 2:40. Which of the […]
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