The Act of ’33 contains specific filing requirements for registered offerings as well as certain lesser filing requirements for unregistered Regulation D offerings.

I.    Form D must be filed with the SEC 15 days after the initial sale of the securities.

II.   A final Form D is to be filed no later than 30 days after the conclusion of the offering

III.  A truncated Form S-1 is to be filed identifying the Issuer and the intended dollar amount of the offering

FINRA routinely requests member firms to furnish books and records maintained by the firm in order to conduct its investigation. In a situation in which the firm fails to comply and furnishes no legitimate rationale for its refusal,

Under FINRA’s Taping Rule, once it notifies a member that it has become subject to the rule:

I.    The firm may request an exemption which would need to be promptly filed

II.   The firm has 30 days in which to comply, initiating their taping regime

III.  The firm has the option of trimming its staff to a point below the threshold which has triggered the Taping requirement and has 30 days in which to do so

IV.  The Taping rule only applies to member firms who are also members of the NYSE

According to FINRA regulations, a DPP is most similar to which of the following?

Under the trading protocols of NASDAQ, which B/D in a firm-to-firm transaction will report the trade to the appropriate ticker tape?

From time to time, a member finds it necessary to conduct an investigation into one of the firm’s registered reps. If a particular investigation does not turn up any infractions or violations, it needs to be reported to FINRA in no more than:

The exchanges have implemented the LULD (Limit Up/Limit Down) rules for which of the following circumstances?

In accordance with newly-revised limitations for reporting of movements of cash from one account to another, wire transfers must be reported if they are:

FINRA may do which of the following when investigating a member firm?

With regard to a customer complaint: