1 of 218
Term
All advertising for muni bonds must be approved by:
Give this one a try later!
the marketing department after
any senior management member
review
, municipal principal or general the compliance officer after
principal prior to use publication
Don't know?
2 of 218
Definition
State laws that regulate the offering and sale of securities for the
protection of the public.
Uniform Securities Act (USA) of 1956
Give this one a try later!
Bylaws Control Stock Filing Requirements
Blue Sky Laws Statue Of Frauds
Don't know?
3 of 218
Definition
do not call list - FINRA and MSRB require that firms maintain Do not
call lists
doesn't apply to non-profits
,FTC and citizens can bring civil law enforcement to enforce cold
calling rules
can't call before 8am or after 9pm
Give this one a try later!
Consumer financial protection act Truth in lending act
Federal Telephone Consumer
Telemarketing sales rule
Protection Act of 1991
Don't know?
4 of 218
Term
A municipal principal must approve what?
Give this one a try later!
must be told if there's a connection between the firm and an issuer of securities
if the person at the firm can influence the issuer or if there's a person that can
influence the broker-dealer
The Prospectus cover includes:
Final Public Offering Price,
, Underwriter's Spread, and
Net Proceeds to the issuer.
Dealer-Dealer Practices;
Dealer-Customer Practices;
Dealer-Dealer Dispute Resolution Procedures;
Dealer-Customer Dispute Resolution Procedures.
Every new account;
Every municipal securities transaction;
Every written communication to a customer involving municipal securities;
The resolution of every customer complaint involving municipal securities.
Don't know?
5 of 218
Definition
SEC approves the rules and regs of the SROs
Give this one a try later!
SROs (Self-Regulatory
Traders and market makers
Organizations)
Registered primary Distribution Public, private
Don't know?
6 of 218
Term
All advertising for muni bonds must be approved by:
Give this one a try later!
the marketing department after
any senior management member
review
, municipal principal or general the compliance officer after
principal prior to use publication
Don't know?
2 of 218
Definition
State laws that regulate the offering and sale of securities for the
protection of the public.
Uniform Securities Act (USA) of 1956
Give this one a try later!
Bylaws Control Stock Filing Requirements
Blue Sky Laws Statue Of Frauds
Don't know?
3 of 218
Definition
do not call list - FINRA and MSRB require that firms maintain Do not
call lists
doesn't apply to non-profits
,FTC and citizens can bring civil law enforcement to enforce cold
calling rules
can't call before 8am or after 9pm
Give this one a try later!
Consumer financial protection act Truth in lending act
Federal Telephone Consumer
Telemarketing sales rule
Protection Act of 1991
Don't know?
4 of 218
Term
A municipal principal must approve what?
Give this one a try later!
must be told if there's a connection between the firm and an issuer of securities
if the person at the firm can influence the issuer or if there's a person that can
influence the broker-dealer
The Prospectus cover includes:
Final Public Offering Price,
, Underwriter's Spread, and
Net Proceeds to the issuer.
Dealer-Dealer Practices;
Dealer-Customer Practices;
Dealer-Dealer Dispute Resolution Procedures;
Dealer-Customer Dispute Resolution Procedures.
Every new account;
Every municipal securities transaction;
Every written communication to a customer involving municipal securities;
The resolution of every customer complaint involving municipal securities.
Don't know?
5 of 218
Definition
SEC approves the rules and regs of the SROs
Give this one a try later!
SROs (Self-Regulatory
Traders and market makers
Organizations)
Registered primary Distribution Public, private
Don't know?
6 of 218
