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Ch. 1 FINRA SIE Flashcards
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Identify the acronym: RR
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Registered Representative
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Terms in this set (61)
Identify the acronym: RR
Registered Representative
Where may quotes for non-Nasdaq (OTC equity) stocks be found?
Pink sheets or the OTC Bulletin Board
True or false: An individual with $100 million in assets is a QIB
False; even with $100 million in assets, individuals are not considered QIBs
Define the term dealer
a person engaged in the business of buying securities for, and selling securities from, own account
The new issue market is also known as the ____ market
primary market