/ series24 is our sister reddit community for Sales Supervisors and General Securities Principals
Time stamps:
1:14 Types of accounts
1:34 Institutional accounts
1:55 Fiduciary accounts
2:20 Discretionary accounts
2:59 Complete description of an option contract is the SERIES!
3:32 Limited power of attorney versus full power of attorney
4:34 Not Held order is NOT a discretionary order. Decisions about time and price are not discretionary.
5:00 Opening an options account
5:58 Date of delivery of the ODD
6:30 Investment objective: hedging or speculation
7:22 Approval of an options account
8:15 Closing or offsetting transactions if the option agreement not returned in 15 days
9:13 Uncovered options
11:12 Level of options approval
12:00 Anti-Money Laundering (AML)
12:23 Bank Secrecy Act
12:45 Currency Transaction Report
12:50 Customer Identification Procedures (CIP). OFAC (office of Foreign Asset Control)
13:43 Suspicious Activity Report (SAR)
13:55 Red flags
14:00 Series 9 is NOT a Series 4
14:20 Series 9 can't approve Retail Communication or Option Templates
15:14 Capping and pegging
15:45 AML officer
16:26 Customer suitability
17:38 Regulation BI
18:54 Option positions
27:03 Margin accounts
27:15 Reg T is 50%
27:24 Minimum is $2,000 or 100% of the purchase price if under $2,000
31:11 Initial margin for uncovered option
32:04 Minimum for uncovered option
32:00 Pattern Day trader
32:30 Customer complaints
34:12 Record retention for complaints is 4 years
34:55 Complaints filed quarterly unless......
34:47 Cancel and rebill
35:08 Error account
35:49 Large position reporting
37:20 Prohibited activities and trading abuses
39:09 Order information
39:45 Contrary Exercise Advice
40:53 Stock splits and stock dividends
41:43 Assignment and settlements
43:43 Retail communications
45:10 Option worksheet
46:30 Option strategies
46:45 Spreads
49:40 Series 4 duties and Series 9 are not Series 4
52:00 Synthetic options
53:00 Straddles and combinations
53:46 Strangles
54:16 Butterfly spread
55:35 FLEX options
56:10 VIX options
57:26 Cease trading and expiration
57:44 Cabinet trades
58:10 Fast market
58:20 Trading halts
59:00 Tax rules
59:48 Potpourri
15 сен 2024
