10/25/25, 5:04 PM Series 24 - Cheat Sheet COMPLETE EXAM Questions and Answers (Verified Answers) (Latest Update 2025) UPDATE!! Flashcar…
Series 24 - Cheat Sheet COMPLETE EXAM
Questions and Answers (Verified Answers) (Latest
Update 2025) UPDATE!!
Save
Terms in this set (128)
after notice by FINRA, 21 days
how long do members
have to pay fees?
how much notice needs to 30 days
be give to FINRA before a
material change to a firm?
how long after statutory do it promptly, no longer than 30 days
dq'ing event must you
report an associated
person to FINRA?
what are two ways to be convicted of money/securities misdemeanor, or any
DQ'd by FINRA? felony within past 10 years
how often must the firm annually
element of continuing ed
be completed?
when must regulatory within 120 days of second registration anniversary and
element of continuing ed every 3 years after
be completed?
what can active military receive commissions on book, 2 year expiration clock
service do? rolled, must reactivate within 90 days of return
https://quizlet.com/1098301205/series-24-cheat-sheet-complete-exam-questions-and-answers-verified-answers-latest-update-2025-update-flash-cards… 1/9
, 10/25/25, 5:04 PM Series 24 - Cheat Sheet COMPLETE EXAM Questions and Answers (Verified Answers) (Latest Update 2025) UPDATE!! Flashcar…
what can active military no form U5 necessary, cannot perform as RR, CE
service not do? requirement suspended
what is FINRA rule 3110? how often inspections must occur
how often must OSJ and annually
supervising branches be
inspected?
how often must non every three years
supervising branches be
inspected?
principals must submit to management annually a
what is FINRA rule 3120?
report detailing system of supervisory controls
CEO must certify annually that firm has proper
what two things does
supervisory procedures in place; firm must designate
FINRA rule 3130 do?
chief compliance officer
business continuity plans must be disclosed to
what does FINRA rule customers on account opening; firms must designate
4370 state? two associated persons as emergency contacts;
changes to contact info must be updated promptly
how long do you have to 30 days
amend a form U4?
how do you amend a form with DRPs (new needs reps signature)
U4?
how long to file a form within 30 days of employee termination?
U5?
who does U5 go to? both FINRA and terminated employee
who provides U5 copy to employee (2 days) or FINRA
new firm?
who needs to be at each at least one principal
OSJ?
what is kept at OSJ? customer records including complaints
https://quizlet.com/1098301205/series-24-cheat-sheet-complete-exam-questions-and-answers-verified-answers-latest-update-2025-update-flash-cards… 2/9
Series 24 - Cheat Sheet COMPLETE EXAM
Questions and Answers (Verified Answers) (Latest
Update 2025) UPDATE!!
Save
Terms in this set (128)
after notice by FINRA, 21 days
how long do members
have to pay fees?
how much notice needs to 30 days
be give to FINRA before a
material change to a firm?
how long after statutory do it promptly, no longer than 30 days
dq'ing event must you
report an associated
person to FINRA?
what are two ways to be convicted of money/securities misdemeanor, or any
DQ'd by FINRA? felony within past 10 years
how often must the firm annually
element of continuing ed
be completed?
when must regulatory within 120 days of second registration anniversary and
element of continuing ed every 3 years after
be completed?
what can active military receive commissions on book, 2 year expiration clock
service do? rolled, must reactivate within 90 days of return
https://quizlet.com/1098301205/series-24-cheat-sheet-complete-exam-questions-and-answers-verified-answers-latest-update-2025-update-flash-cards… 1/9
, 10/25/25, 5:04 PM Series 24 - Cheat Sheet COMPLETE EXAM Questions and Answers (Verified Answers) (Latest Update 2025) UPDATE!! Flashcar…
what can active military no form U5 necessary, cannot perform as RR, CE
service not do? requirement suspended
what is FINRA rule 3110? how often inspections must occur
how often must OSJ and annually
supervising branches be
inspected?
how often must non every three years
supervising branches be
inspected?
principals must submit to management annually a
what is FINRA rule 3120?
report detailing system of supervisory controls
CEO must certify annually that firm has proper
what two things does
supervisory procedures in place; firm must designate
FINRA rule 3130 do?
chief compliance officer
business continuity plans must be disclosed to
what does FINRA rule customers on account opening; firms must designate
4370 state? two associated persons as emergency contacts;
changes to contact info must be updated promptly
how long do you have to 30 days
amend a form U4?
how do you amend a form with DRPs (new needs reps signature)
U4?
how long to file a form within 30 days of employee termination?
U5?
who does U5 go to? both FINRA and terminated employee
who provides U5 copy to employee (2 days) or FINRA
new firm?
who needs to be at each at least one principal
OSJ?
what is kept at OSJ? customer records including complaints
https://quizlet.com/1098301205/series-24-cheat-sheet-complete-exam-questions-and-answers-verified-answers-latest-update-2025-update-flash-cards… 2/9
