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series 7 take 2 > calendar days to know > Flashcards

Flashcards in calendar days to know Deck (13):
1

same business day

settlement date for cash transactions

2

1 business day

-regular way settlement for US govt securities and options

3

2 business days

-ex-dividend date relationship to record date

4

3 business days

-regular way settlement for corporate and municipal securities

5

5 business days

-cash purchases must be paid in full with reg t

6

15 calendar days

-max length of time a customer can place options orders before the signed option agreement is required

7

20 calendar days

-cooling off period-minimum time between filing date and registration

8

30 calendar days

-IRS wash sale period before and after a trade

9

60 calendar days

-maximum period of time to roll over holdings from one qualified plan to another

10

90 calendar days

-max time for a letter of intent to be backdated
-length of time cash account can be frozen for nonpayment

11

6 months

-frequency investment companies are required to send reports to shareholders

12

13 months

-length of time covered by a letter of intent

13

16 months

-maximum length of time an investment companies prospectus is valid