Series 7 Numbered Q's
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Upon receiving a customer request for a copy of the signed predispute arbitration agreement, the member firm has how many business days to supply it?
Under the Code of Arbitration, all monetary awards must be paid within how many days of the decision date?
If a customer wishes to purchase a nonexempt security in a cash account, Regulation T requires a broker/dealer to receive payment in full within how many days?
5 business days
New issues are not marginable for how long?
RR must contact firm's large block desk if amount of shares customer wishes to sell is larger than
Index-opton contract has multiplier of
OCC is issuer of all exchange traded options
According to investment act of 1940 what % of BOD must be non-interested persons?
stocks traded in 10 share units
For every 1$ increase in LMV creates how much increase in purchase power?
Eurodollar time deposits are overnight to
European banks lend these to eachother to form LIBOR
Options contracts are not adjusted for cash dividends or distributions for less than
$12.50 per options contract
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