Use LEFT and RIGHT arrow keys to navigate between flashcards;
Use UP and DOWN arrow keys to flip the card;
H to show hint;
A reads text to speech;
11 Cards in this Set
- Front
- Back
|
Wait time after failing exam a 3rd time |
180 Days |
|
|
Updated account info must be kept by member firms for how long? |
Six years |
|
|
How long before you have to retest after leaving a firm? |
Two years |
|
|
Form used to register Broker/Dealer |
Form BD |
|
|
Form used to register associated person |
Form U4 |
|
|
Form used to terminate associated person |
Form U5 |
|
|
Form used to terminate Broker/Dealer |
Form BDW |
|
|
FINRA defines customer complaints as? |
Complaints in writing |
|
|
How often must the firm element of continuing education be completed |
Annually |
|
|
How often must the regulatory element of continuing education be completed? |
Within 120 days of your second registration anniversary date and every 3 years after |
|
|
SIPC covers customer accounts up to a maximum of what? |
$500,000, of which $250,000 can be cash |
