A Form 144 is required to be filed with the SEC under which of the following situations?

A customer completed a transaction in their account with your B/D. Later that day, the customer contacts their RR to say they’ve changed their mind about the transaction. Which of the below represents the proper handling of this situation?

When one of your RRs has been working the desk on bank premises and the Rep is terminated, under what circumstances must your firm notify the bank of the termination?

In situations which a private securities transaction by an RR has been approved by firm management, this selling away event requires that

When a firm has one or more OMSJ’s (Offices of Municipal Supervisory Jurisdiction), each such office must have no less than one registered principal possessing a:

When your firm is handling the distribution of a DPP in accordance with Reg. D, which of the below items plays the most important role in determining investor suitability and qualification to make the purchase?

A member firm has been engaged to assist the target company in a tender offer. You are responsible for assuring that your RRs know which client positions in the target company qualify to tender their shares.

I. Convertible bonds with conditions

II. Stock underlying covered call positions

III. Short against the box net long positions

IV. Net short positions

The primary concern when determining whether to approve the opening of a day trading account, in accordance with FINRA rules, would be:

SEC Rule 144 and 144a reference various restrictions on the re-sale of stock by certain investors.  The rules refer to control stock and restricted stock.  Which of the below statements is accurate?

A mutual fund investor has begun to liquidate some of their shares on a periodic basis as part of a withdrawal plan offered by the fund. From a tax viewpoint;