Series 24
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on it to display the answer.
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| CHURNING | show 🗑
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| show | PRICE AN INVESTOR CAN SELL TO A BROKER DEALER
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| ACES ADVANCED COMPUTERIZED EXECUTION SERVICE | show 🗑
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| ADR | show 🗑
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| ASK | show 🗑
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| ADTV | show 🗑
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| show | SIMULTANEOUS PURCHASE AND SALE OF SAME OR RELATED SECURITIES TO TAKE ADVANTAGE
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| CHINESE WALL | show 🗑
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| CLOSED END MANAGEMENT CO. | show 🗑
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| SETTLEMENT DATE, DATE DELIVERED | show 🗑
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| CQS CONSOLIDATED QUOTATION SYSTEM | show 🗑
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| CONSOLIDATED TAPE | show 🗑
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| CROSSED MARKET | show 🗑
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| DEFINED CONTRIBUTION PLAN | show 🗑
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| DEFINED BENEFIT PLAN | show 🗑
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| show | SETTLEMENT WHERE SECURITIES ARE DELIVERED TO A BANK IN EXCHANGE FOR PAYMENT OF AMT DUE
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| DPP DIRECT PARTICIPATION PROGRAM | show 🗑
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| show | STATEMENT SAYS SELLER NEEDS TO DELIVER DIVIDEND TO PURCHASER
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| show | THIRD PARTY ORDERS ENTERED BY MARKET MAKERS, INSTITUTIONAL INVESTORS
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| EX DATE | show 🗑
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| show | NO FEDERAL REGISTRATION - EXAMPLES - REGULATION A,S,D OFFERINGS
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| REGULATION A | show 🗑
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| show | EXEMPT FROM REGISTRATION - OFFERINGS SOLD TO MAX OF 35 NON-ACCREDITED INVESTORS.
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| REGULATION M | show 🗑
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| SYNDICATE | show 🗑
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| Fidelity Bond | show 🗑
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| OTC transactions | show 🗑
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| 401K | show 🗑
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| 403b | show 🗑
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| show | BUYING AND THEN IMMEDIATELY SELLING WITHOUT MAKING PAYMENT
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| show | REDUCTION IN VALUE OF SECURITIES IN BROKER DEALER TRADING - INVESTMENT ACCT USED IN CALCULATING NET CAPITAL
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| HYPOTHECATE | show 🗑
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| show | WHO ARE IMMEDIATE FAMILY?
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| show |
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| show | FOR EMPLOYED INDIVIDUALS THAT ALLOWS ANNUAL CONTRIBUTION OF 100% OF EARNED INCOME UP TO $5000. SOME OR ALL TAX DEDUCTIBLE BASED ON AGI
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| show | BEST (HIGHEST) BID PRICE AT WHICH AN OTC STOCK CAN BE SOLD AND THE BEST (LOWEST) ASK PRICE AT WHICH THE SAME STOCK CAN BE BOUGHT IN THE INTER DEALER MARKET
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| show | PLACING A THIRD PARTY IN THE MIDDLE OF A TRADE BETWEEN BROKER DEALER AND BEST AVAIL MARKET
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| show | ISSUE REGISTERED WITH SEC - SOLD TO RESIDENTS OF STATES OTHER THAN WHERE ISSUER DOES BUSINESS
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| show | ISSUE EXEMPT FROM REGISTRATION - AVAIL TO CO'S THAT DO BUS IN ONE STATE AND SELL SECURITIES ONLY TO RESIDENTS OF THAT SAME STATE
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| INTRODUCING BROKER | show 🗑
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| INVESTMENT BANKER | show 🗑
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| KEOGH PLAN | show 🗑
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| BASIC LEVEL OF NASDAQ SERVICE - UP-TO-MINUTE INSIDE BID AND ASK QUOTES ON HUNDREDS OF OTC STOCKS | show 🗑
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| show | LEVEL II
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| show | LEVEL III
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| LOAN CONSENT AGREEMENT (OPTIONAL) | show 🗑
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| show | NO SPREAD BETWEEN BID AND ASK ON SAME SECURITY.
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| show | STAND READY TO BUY OR SELL A SECURITY FOR ITS OWN ACCT
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| show | DIFFERENCE BETWEEN HIGHEST CURRENT BID PRICE AMONG DEALERS AND THE LOWER PRICE THAT A DEALER PAYS TO A CUSTOMER
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| show | TO ADJUST VALUE OF THE SECURITIES IN AN ACCT TO THE CURRENT MARKET VALUE OF THOSE SECURITIES. USED TO CALCULATE THE MARKET VALUE AND EQUITY IN MARGIN ACCT
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| show | DIFFERENCE BETWEEN THE LOWEST CURRENT OFFERING PRICE AMONG DEALERS AND THE HIGHER PRICE A DEALER CHARGES A CUSTOMER.
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| show | EXECUTION PRICE THAT IS BELOW THE PREVIOUS BY A MINIMUM AMT
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| show | NO ENFORCEMENT POWERS, WORKS UNDER SUPERVISION OF SEC
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| show | DEALS WITH RESEARCH ANALYST CONFLICT OF INTEREST RULES
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| NASD RULE 2790 | show 🗑
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| NATIONAL QUOTATION BUREAU | show 🗑
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| NAV | show 🗑
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| NET CAP | show 🗑
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| show | PERSON WHO'S NAME SECURITY IS REGISTERED IN IF THAT PERSON IS OTHER THAN THE OWNER
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| show | AN ABBREVIATED PROSPECTUS USED BY CORPS ISSUING LESS THAN $5 MIL OF STOCK. REGULATION A ALLOWS THESE OFFERINGS AN EXEMPTION FROM FULL REGISTRATION.
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| show | MASTER ACCT IN THE NAME OF THE CARRYING BROKER DEALER THAT HOLDS SECURITIES
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| OTC BULLETIN BOARD | show 🗑
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| PAINTING THE TAPE | show 🗑
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| PATTERN DAY TRADER | show 🗑
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| show | EXEMPTION FROM MARKET MAKER FILING RULE 15C2-11 - IF SECURITY HAS BEEN QUOTED ON AT LEAST 12 BUSINESS DAYS OVER PAST 30 CALENDARS AND NO MORE THAN 4 DAYS WITHOUT QUOTE DURING THIS PERIOD
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| show | WEEKLY PUBLICATION COMPILED BY THE NATIONAL QUOTATION BUREAU CONTAINING WHOLESALE QUOTES FOR OTC STOCKS
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| PRINCIPAL APPROVAL, DOES NOT NEED TO BE FILED WITH FINRA | show 🗑
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| show | PLAN WHERE YOU GET RECEIVE TAX DEDUCTIBLE CONTRIBUTIONS
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| show | WHEN A BUYER, AFTER ACCEPTING SECURITIES AS GOOD DELIVERY, LATER DISCOVERS THEY ARE NOT GOOD FORM.
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| RED HERRING | show 🗑
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| REGISTERED BY COORDINATION | show 🗑
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| REGISTRATION BY QUALIFICATION | show 🗑
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| show | FEDERAL RESERVE BOARD REGULATION THAT GOVERNS CASH ACCTS AND AMT OF CREDIT BROKERS CAN EXTEND TO CUSTOMERS FOR PURCHASE OF SECURITIES. LOAN VALUE IS 50% = PAYMENT DEADLINE IS TOW DAYS BEYOND REGULAR WAY (SO 5 DAYS)
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| REGULATION U | show 🗑
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| show | PLEDGING OF CLIENT'S SECURITIES AS COLLATERAL FOR BANK LOAN. MAY DO UP TO 140% OF A CUSTOMER'S DEBIT BALANCE
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| show | UNREGISTERED, NONEXEMPT SECURITY ACQUIRED DIRECTLY OR INDIRECTLY FROM ISSUER. DOES NOT INVOLVE A PUBLIC OFFERING
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| RETENTION REQUIREMENT | show 🗑
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| 1934 | show 🗑
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| SIPC | show 🗑
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| show | REP SELLING PRIVATE SECURITIES TRANSACTIONS WITHOUT KNOWLEDGE AND CONSENT OF EMPLOYER.
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| SHELF OFFERING | show 🗑
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| show | SELLING A SECURITY THAT THE SELLER OWNS BUT PREFERS NOT TO DELIVER. TO DEFER TAXATION.
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| SIMPLE ARBITRATION | show 🗑
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| SMA | show 🗑
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| SPREAD | show 🗑
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| show | BIDDING AT OR BELOW POP OF NEW ISSUE. TO PREVENT PRICE FROM DROPPING SHARPLY DURING IPO
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| show | AGREES TO BUY ANY PART NOT BEEN PURCHASED BY CURRENT STOCKHOLDERS THROUGH RIGHTS OFFERING. OFFERS IT TO PUBLIC.
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| show | LOAN PLACED BELOW OTHER DEBTS
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| show | OFFER TO BUY FOR CASH OR CASH PLUS SECURITIES
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| TOMBSTONE | show 🗑
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| TRADING AHEAD | show 🗑
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| 12B-1 ASSET BASED FEES | show 🗑
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| show | INVESTMENT CO. THAT SELLS A FIXED NUMBER OF REDEEMABLE SHARES IN PORTFOLIO OF SECURITIES AND IS DIVERSIFIED . ORGANIZED UNDER TRUST INDENTURE.
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| show | SECURITY AUTHORIZED AND SOLD TO INVESTORS BEFORE CERTS ARE READY FOR DELIVERY
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| show | DAILY PUBLICATION BY NATIONAL QUOTATION BUREAU - OTC BONDS
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| show | LIMITS ACTIVITY OF UNDERWRITERS
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| SEC RULE 102 | show 🗑
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| show | ALLOWS PASSIVE MARKET MAKING DURING RESTRICTED PERIOD
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| show | REGULATES STABILIZING BIDS
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| SEC RULE 105 | show 🗑
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| show | REG A (SMALL OFFERINGS)
RULE 147 (INTRASTATE OFFERINGS (IN)
REG D (PRIVATE PLACEMENTS)
RULE 145 (CORP. RECLASSIFICATIONS)
REG S (OFFSHORE TRANSACTIONS)
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| RULE 147 | show 🗑
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| show | ACT OF 1933 EXEMPTION FROM REGISTRATION SMALL OFFERINGS AT $5 MIL OR LESS
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| 250,000 | show 🗑
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| show | Trade alongside customer limit order - how many shares and what value?
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| 125,000 | show 🗑
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| show | SMALL FIRMS ALLOWED TO MAKE RESERVE COMPUTATION MONTHLY - MUST DEPOSIT WHAT %?
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| show | Blotters must be posted when?
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| Equity issues not listed on any other exchange | show 🗑
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| show | 3 QUOTE RULE NOT NEEDED IF WHAT
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| show | GUARDIANSHIP - ACCT MUST BE SET UP WITHIN HOW MANY DAYS OF COURT ORDER?
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| show | WHICH FORM NEEDS TO BE FILED IF MUTUAL FUND OWNS 5% INTEREST IN COMPANY
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| 1 year, 5 years | show 🗑
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| show | Minimum net cap for introducing firm that accepts customer securities for prompt forwarding to clearing firm
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| NASDAQ | show 🗑
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| show | SPECIALIST CANNOT ACCEPT
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| SPECIALIST | show 🗑
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| show | MARKET ORDER IN WHICH FLOOR TRADER HAS DISCRETION TO TO EXECUTE WHEN FEELS ITS BEST
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| OPENING OR CLOSE | show 🗑
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| 3:40 UNLESS ORDER IMBALANCE | show 🗑
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| LIMIT ORDER | show 🗑
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| STOP ORDER | show 🗑
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| STOP LIMIT | show 🗑
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| show | PLACED BELOW MARKET - REDUCED BY SPECIALIST PRIOR TO MARKET OPENING ON EX DATE FOR CASH DIVIDEND
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| HIGHEST BID, LOWEST ASK | show 🗑
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| show | VOLUME WEIGHTED AVERAGE COMPUTATION
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| show | ORDER AUDIT TRAIL - INFO FROM ACT, ETC. TIME SEQUENCED RECORD OF ORDERS AND TRANSACTIONS FROM RECEIPT TO EXECUTION. NASDAQ LISTED EQUITY SECURITIES AND OTC EQUITY (NON-NASDAQ)HOUR MINUTE SECOND - MADE DAILY TO FINRA
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| 2ND MARKET | show 🗑
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| show | TRADE REPORTING FOR OTC SECONDARY MARKET TRANSACTIONS IN CORPORATE BONDS. REPORTED TO INVESTING PUBLIC FOR MARKET TRANSPARENCY. TRACE ELIGIBLE - DEBT OF FOREIGN CO'S, CMO'S, MM, CONVERTIBLE CORP. BONDS. REPORTED IN HOW MANY MINUTES?
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| MUNI BONDS | show 🗑
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| show | HOURS TRACE IS OPEN?
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| show | WHO REGULATES TRADING OF OTC NONEXMEPT SECURITIES?
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| SECOND MARKET | show 🗑
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| THIRD MARKET | show 🗑
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| 90 SECONDS OF EXECUTION | show 🗑
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| show | INSTITUTIONAL INVESTORS - LARGE BLOCKS OF STOCK TRADED - TAKE PLACE THROUGH ECN'S ELECTRONIC COMMUNICATIONS NETWORKS
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| show | TRADING HOURS - NYSE
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| show | "E" ON BULLETIN BOARD MEANS?
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| show | "Z" ON BULLETIN BOARD MEANS?
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| WEEKLY | show 🗑
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| show | PROVIDES QUOTES FROM BOTH BOTH 3RD MARKET MAKERS AND SPECIALISTS. QUOTES AND SIZE FOR EQUITY SECURITIES OPEN 9-630
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| CONSOLIDATED TAPE | show 🗑
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| show | WHAT ARE NOT ON THE SPECIALIST BOOK?
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| BECOME GTC AND HELD FOR NEXT OPENING DAY | show 🗑
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| CANCELED. | show 🗑
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| LOCATE REQUIREMENT | show 🗑
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| LIMIT ORDER RULE (MANNING II) | show 🗑
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| show | IF PERSON HAS NONPUBLIC KNOWLEDGE OR IMPENDING BLOCK ORDER AND PLACES ORDER IN FRONT TO OF BLOCK ORDER
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| show | PROHIBITED - ALWAYS CONCERNS RESEARCH REPORTS
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| WHEN PROVIDES BETTER EXECUTION | show 🗑
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| show | ENTERING ORDERS OR FALSE REPORTING TO EFFECT CLOSING PRICE
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| show | ILLUSION OF HIGH TRADING VOLUME BY BUYING AND SELLING SAME STOCK
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| show | 5% POLICY APPLIES TO?
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| show | ACTIVE COMPETITIVE MARKET - PREVAILING PRICE IS?
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| PROCEEDS TRANSACTION | show 🗑
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| INACTIVE | show 🗑
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| show | FINRA CAN INITIATE TRADING HALTS (BECAUSE OF NEWS RELEASES)ON?
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| show | SEC CAN SUSPEND TRADING IN ANY SECURITY FOR HOW LOG?
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| show | SEC SUSPEND TRADING ON EXCHANGES FOR HOW LONG?
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| MANAGED ACCOUNT | show 🗑
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| show | TRACE - TRADE REPORTING AND COMPLIANCE SYSTEM - OTC SECURITIES REPORTING SYSTEM FOR WHAT SECURITIES?
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| show | SECURITIES THAT CAN BE USED AS COLLATERAL IN A MARGIN ACCOUNT
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| MARGIN | show 🗑
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| show | MINIMUM INCREMENTS. SUB PENNY PRICING ALLOWED FOR STOCKS UNDER 1.00
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| show | PROHIBITS TRADER THROUGH - BETTER PRICE ELSEWHERE
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| show | MONTH REPORTS
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| show | QUARTERLY REPORTS - ORDER ROUTING SYSTEM & PAYMENT FOR ORDER FLOW
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| UNREGISTERED SHARES | show 🗑
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| FREELY SELL AFTER 6 MONTHS | show 🗑
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| SELL AFTER 6 MONTHS, MUST FILE 144, VOLUME RESTRICTIONS | show 🗑
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| show | WHEN FILE 144 - AFFILIATE UNREGISTERED SECURITIES? GOOD FOR HOW LONG?
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| show | RULE 144 AFFILIATE UNREGISTERED SHARES - 90 DAYS IF SMALL AMOUNT- DON'T NEED TO FILE 144 IF SELL HOW MUCH?
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| show | RULE 144 MAXIMUM VOLUME AMOUNT IN 90 DAY PERIOD
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| show | SELLING UNREGISTERED SHARES - CANNOT SOLICIT BUYERS FOR 144 STOCK UNLESS:
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| PROVIDES EXEMPTION FOR SECONDARY MARKET TRADING OF UNREGISTERED SECURITIES AMONG QIB'S (QUALIFIED INSTITUTIONAL BUYERS) | show 🗑
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| show | QIB'S (QUALIFIED INSTITUTIONAL BUYERS)- IS AN INSTITUTION (INV. CO., PENSION FUND, INSURANCE CO, ETC. WHO HAS WHAT PORTFOLIO VALUE OF WHAT? AND MEMBERS VALUE?
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| show | ACT
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| show | DRM
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| show | LIABILITY ORDER (MARKET MAKER OBLIGATED TO RESPOND TO UNDER FIRM QUOTE RULE) - PARTY ENTERING THE ORDER DOES NOT IDENTIFY SPECIFIC PARTY PARTY TO EXECUTE TO OR AGAINST
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| show | ACCESS SPECIFIC QUOTE OR ORDER DISPLAYED IN NASDAQ. MARKET MAKER NOT OBLIGATED, MAY DO IN WHOLE OR PART OR DECLINE SINCE 100 SHARES GREATER THAN DISPLAYED. RESPOND IN 5 SECONDS
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| 100 SHARES GREATER THAN QUOTE BEING ACCESSED (DIRECTED ORDERS) | show 🗑
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| PREFERENCE ORDERS - MUST BE INSIDE MARKET OR RETURNED TO FIRM | show 🗑
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| ACT | show 🗑
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| show | ACT TRANSACTIONS MUST BE REPORTED WITHIN HOW LONG?
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| 8-8 | show 🗑
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| TRACS | show 🗑
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| ECN'S - NO EXCHANGE TRADED FUNDS | show 🗑
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| 500 | show 🗑
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| 200 | show 🗑
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| 500,000 - LONG POSITION | show 🗑
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| show | BLOCK ORDERS RULE 127 - LIMITATIONS DUE TO BLACK TRADING - GIVE ACCESS TO CROWD - CHECK MARKET DEPTH AND IF MM INTERESTED. THIS BLOCK IS DEFINED AS HAVING VALUE OF?
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| show | HOLS SECURITIES FOR OWN ACCOUNT
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| 930-4. MAY VOLUNTARILY OPEN FROM 8-930 ET OR 4PM-630PM ET | show 🗑
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| show | SHORT INTEREST REPORTING, NEEDS TO BE REPORTED WHEN?
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| LIMIT ORDER RULE (MANNING II) | show 🗑
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| show | REG M - MARKET AKERS CAN AFFECT OFFERING PRICE IN ADDITIONAL ISSUE OFFERINGS - Actively Traded Security has ADTV of? RESTRICTION?
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| show | ADTV OF $100,000 AND PUBLIC FLOAT 25 MILLION - RESTRICTED PERIOD?
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| show | ADTV NOT AT TIER ONE AND TWO, RESTRICTED PERIOD?
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| LOOKS AT FAIRNESS OF UNDERWRITING COMPENSATION!!! | show 🗑
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| NOT INVOLVED IN FIRST TRANSACTION OF THE DAY OR LAST 30 MINUTES OF TRADING. CANNOT EXCEED 25% ADTV OVER LAST 4 WEEKS. BLOCK PURCHASES COUNT TOO. | show 🗑
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| INSTRASTATE!!! SOLD IN STATE! | show 🗑
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| Clearing firm | show 🗑
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