Acts, Rules and Laws Flashcards
1
Q
FINRA 4370
A
How to continue business in the event of an emergency shutdown
2
Q
Rule 156
A
Oversees misleading or fraudulent sales lit for mutual funds or similar funds
3
Q
Rule 498
A
Rules around prospectus- must mail within 3 days of request, Summary prospectus must be posted within 90 days and free of charge
4
Q
Rule 482
A
Oversees Advertisement of mutual funds and disclosure of stats in advertisement
5
Q
Securities Act of ‘33
A
First law overseeing securities and primiarily directed at preventing fraud
6
Q
Securities Exchange Act of ‘34
A
Established the SEC
7
Q
Under what rule does FINRA require updated changes within 17 days of year end calendar year
A
FINRA 4370
