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... pay back taxes as well as penalties and interest ... Integrated Securities Industry Essentials (SIE) and Series ... ... . A municipal securities broker's broker will complete transactions for a ... The FINRA Direct Participation Programs Limited Principal (Series 39) Qualification Examination (hereinafter called the DPP Principal) is designed to test a candidate's knowledge of the rules and statutory provisions applicable to the management of a broker-dealer which limits its securities business to these products. Registration Categories. STUDY. Flashcards. Lea ... Series 7- Direct Participation Programs Flashcards | Quizlet ... . Registration Categories. STUDY. Flashcards. Learn. Write. Spell. Test. PLAY. Match. Gravity. Created by. mitchskins. Terms in this set (23) Series 6. Investment Company Products/Variable Contracts Limited Representative; registered representative authorized to sell investment companies and variable annuity products with a prospectus. Series 7. General Securities Representative; registered ... A riskless or simultaneous transaction, as performed in the "over-the-counter" market occurs when a broker-dealer receives an order to buy a stock from one customer; and then the firm buys the security into its inventory account to sell to that customer. Series 39 - Direct Participation Programs Limited Principal Covered supervisory activities and products include regulatory compliance over sales of: Direct participation program limited partnerships ( e.g., real estate, oil and gas, and equipment leasing) Series 24 - General Securities Principal The Series 24 Exam is a principal level FINRA exam that qualifies individuals to manage/supervise investment banking or general securities activity, including corporate and government securities, direct participation programs, investment companies, and variable contracts. While this does NOT qualify individuals to supervise municipal or options ... I want to sell many different types of securities products: Series 7—FINRA General Securities Representative Exam: A Series 7 registration qualifies you to solicit, purchase, and/or sell all securities products, including corporate and municipal securities, options, direct participation programs, mutual funds, and variable contracts.. I want to buy and sell mutual fund, closed-end company ... A Series 24 registration qualifies you to manage or supervise a FINRA member's investment banking or securities business for corporate securities, rights, warrants, closed-end funds, money market funds, REITS, asset-backed securities, (corporate) mortgage-backed securities, mutual funds, variable annuities and variable life insurance, direct participation programs, securities traders ... The Series 22 license is required to sell direct participation programs, which are programs in which the investor participated in the tax consequences of the investments (usually employed in real estate, oil and gas, and equipment leasing inves...