Securities Exam Chapter 18

A political contribution made from a joint checking account to may exceed $250 if signed by ___________ .

To apply for a securities license, one must file Form ________ with FINRA.

Political contribution rules allow MFPs NOT able to vote for a candidate to contribute a max of $____ (per election)

Gifts exceeding $____ are considered excessive.

An individual may be out of the securities industry for up to ____ years before having to requalify.

FINRA members are required to file ____________ statistical summaries regarding customer complaints.

A BD must file Form U5 with FINRA when a person's association with that firm ______________.

True or False: Firms must send to FIRNA statistics and summary information regarding written customer complaints.

• True

• False

______________ is when a RR effects a private securities transaction for a syndicator without telling his employer.

$________ is the MSRB gift rule limitation.