Must Know Concepts for the Series 24 Exam

Review of Underwriting Agreements by FINRA

All underwriting agreements must be submitted to FINRA's Corporate Finance Department for review, no later than one day after the filing of any registration with the SEC or with any state regulator. If the offering is not required to be filed at either the federal or state level, the agreement must be filed with FINRA at least 15 business days prior to the anticipated offering date. In most cases, the agreement is submitted by the managing underwriter. FINRA will review the maximum total compensation to the underwriters to ensure that the underwriter's compensation is fair and reasonable in light of the size and complexity of the offering. The submission must include:

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Handling and Displaying Customer Limit Orders

If a market maker accepts customer limit orders it must handle the order in accordance with The Limit Order Display Rule. If a market maker accepts a customer's limit order that would improve its quoted price the market maker must update its quote to reflect the customer's limit order. A market maker is required to update its quote within 30 seconds of receiving the customer's order. The 30-second time frame only applies to normal market conditions and does not include the opening or reopening of a security after a halt.

Example:
In the market for XYAD listed below the inside market is 15.00 bid and 15.05 offered. The size of the bid is for 500 shares and there are 300 shares offered.

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Introduction

The Securities Act of 1933 was the first major piece of securities industry regulation that was brought about largely as a result of the stock market crash of 1929. Other major laws were also enacted to help prevent another meltdown of the nation's financial system such as The Securities Exchange Act of 1934, but we will start our review with the Securities Act of 1933 as it regulates the issuance of corporate securities.

The Securities Act of 1933 was the first major piece of securities industry legislation and it regulates the primary market. The primary market consists exclusively of transactions between issuers of securities and investors. In a primary market transaction, the issuer of the securities receives the proceeds from the sale of the securities.

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Series 24 Study Textbook

Series 24 Exam Textbook

Paperback    450 pages    323 test questions    Published December 2015

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