Series 24: Review Quiz

Taken from our Series 24 Online Guide

Review Quiz

  1. 1. To be initially listed on the Nasdaq Capital Market, how many market makers must the issuer have?
  2. A. at least two
  3. B. at least three
  4. C. at least four
  5. D. it is not a requirement
  6. 2. FINRA considers the issuance of, the display of, and the trade reporting with Additional Market Participant Identifiers (MPIDs) to be a(n):
  7. A. right
  8. B. privilege
  9. C. obligation
  10. D. violation
  11. 3. The inside market is best described as:
  12. A. investors using information not yet public
  13. B. the best bid and best ask
  14. C. the price available to institutional investors
  15. D. trades directly between institutional investors without a broker, usually through ECNs
  16. 4. NASDAQ Market Trading hours are:
  17. A. 7:00 AM to 4:00 PM
  18. B. 9:30 AM to 4:00 PM
  19. C. 9:30 AM to 4:30 PM
  20. D. 7:00 AM to 4:30 PM
  21. 5. An order is entered for 425 shares of XYZ Corporation. Which of the following terms most likely describes the order?
  22. A. mixed lot
  23. B. odd lot
  24. C. round lot
  25. D. none of these choices
  26. 6. How are System order

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