1. A branch office may do which of the following?
I. Advertise in the phone book.
II. Approve new accounts.
III. Execute customer orders on a wire basis.
IV. Conduct the member's business with the public.
2. An office of supervisory jurisdiction may conduct which of the following activities?
I. Final approval of advertising
II. The execution of customer orders
III. Structuring of investment banking
IV. Review of branch offices
3. A satellite office may do which of the following?
4. Which of the following is true?
I. An OSJ must have at least two resident principals.
II. An OSJ is responsible for the activities of the branch offices in its area.
III. A registered representative may act as the manager of a branch office.
IV. An OSJ must have a resident FINOP.
5. As it relates to a member firm's annual compliance review, which of the following is NOT true?
6. A general securities firm carrying customer accounts must do which of the following?
I. Advise customers of FINRA's public disclosure program.
II. Give the investors the 800 number for the public disclosure program.
III. Provide customers with the address for the FINRA's website.
IV. Provide all of the items listed in writing twice per year.
