Which of the following should be done before any customer order, is placed upon the order form or other similar records of the member for each transaction, the name or designation of the account (or accounts)?

A carrying or clearing member shall not make any unsecured advance or loan to a stockholder, partner, sole proprietor, employee or affiliate, where such withdrawals, payments, reductions, advances or loans in the aggregate, in any 35 rolling calendar day period, on a net basis, exceeds what percentage?

Each carrying or clearing member shall submit to FINRA such which of the following regarding the member or any of its correspondents as FINRA deems essential for the protection of investors and the public interest?

Members carrying margin accounts for customers are required to submit, on a settlement date basis, the following information as of the last business day of the month.

A change in which of the following in which securities may be issued is not a fundamental change and may be
accomplished by sticker under 424(c)?

As per Rule 415 offering purchasers within how many numbers of days will receive security with a higher yield than that to be received by subsequent purchasers?

Spread means a which of the following position in different call option series, different put option series, or a combination of call and put option series, that collectively have a limited risk/reward profile?

A member organization that receives an order or orders for the purchase or sale of a block of which of the following, which may not readily be absorbed by the market, should explore in-depth the market on which of the following?

A member organization which is covering a short position or liquidating a long position must do the following except:

Once the priority is established by setting interest, such setting interest retains that priority for any execution at that price when that price is at the what?

Broker-dealers could review the debtor’s 8-K form, which contains an issuer’s audited balance sheet, and then publish which of the following From then on, the issuer must file its Exchange Act periodic reports for all periods that begin after the plan becomes effective?

A member engaging in which of the following must file with FINRA, written reports, signed by a senior officer of the member, at such times and, without limitation?

The member shall also review an applicant’s employment experience to determine if the applicant has been recently employed by a Futures Commission Merchant or which of the following that is notice-registered with the SEC pursuant to Section 15(b)(11) of the Exchange Act?

FINRA Rule of 3220, Influencing or Rewarding Employees of Others shall not apply to contracts of which of the following with or to compensation for services rendered by persons?

As early as possible, but not later than how many days, prior to the carrying of any accounts of a new introducing firm (including the accounts of any introducing firm(s) for which a new or existing introducing firm is acting as an intermediary in obtaining clearing services from the carrying firm) the carrying firm shall submit to FINRA a notice identifying each such introducing firm by name and CRD number and shall include such additional information as FINRA may require?

Unless otherwise permitted by FINRA, each member partnership whose general partner enters into any secured or unsecured borrowing, the proceeds of which will be contributed to the capital of the member, shall submit the following for approval in order for such proceeds to qualify as capital acceptable for inclusion in the computation of the net capital of the member

Under the Securities Act of 1933, which of the following statements is correct concerning a public issuer of securities who has made a registered offering?

Total consolidated trading assets and liabilities of the insured depository institution, and every entity that controls it must be equal to or less than what percentage of its total consolidated assets?

Upon what by FINRA of the TRACE Participant application agreement, a TRACE Participant may commence input of trade information in TRACE-Eligible Securities?

Who does not issue the option contract as defined in conventional option in Rule 2360?

How many numbers of shares of securities are needed to hedge the option contracts, as written in FINRA Rule 2360?

When the customer account has been approved for options trading, a member shall obtain a written agreement of him aware and bound of which rules?

Which of the following, according to FINRA Rule 3110, are investigated of a member before registering it with FINRA?
i) qualification
ii) account balance
iii) family background
iv) member’s background
v) business experience

As quoted in Rule 3110, The term “covered account” shall include any account introduced or carried by the member that is held by, except:

According to FINRA Rule 6622 ‘Transaction Reporting’, at what time after execution, transactions transmitted to the OTC Reporting Facility shall be designated as late?

According to FINRA Rule 4511 ‘General Requirements’, for how long the members must preserve the books and records of FINRA for which there is no specified period under the FINRA rules or applicable Exchange Act rules?

According to ‘Customer Confirmations’ (FINRA Rule 2232), what is the name of a transaction that was conducted through a competitive process in which non-affiliate firms could also participate, and where the affiliate relationship did not influence the price paid or proceeds received by the member?

According to ‘Trading Ahead of Research Reports’ (FINRA Rule 5280), to restrict or limit the information flow between research department personnel, or other persons with knowledge of the content or timing of a research report, and trading department personnel, what should a member do?

According to ‘ Prohibition Against Trading Ahead of Customer Orders’ (FINRA Rule 5320) when is a member permitted to trade a security on the same side of the market for its own account at a price that would satisfy such customer order?

According to ‘Front Running of Block Transactions’ (FINRA Rule 5270), in the context of equity securities what kind of a transaction is generally NOT deemed to be a block transaction?