Series 79 STC Exam 2025 With 100%
Correct Answers
Form U4 - CORRECT ANSWER✔✔Requires all reps when registering with a BD to disclose:
-10 year employment history
-felony convictions, convistions for securities related misdemeanors or actions taken by a US or
foreign securities regulator that have occured within the past TEN YEARS (= statutory
disqualification or SD)
by signing U4 registered person agrees to use arbitration as a means of resolving disputes with
the employer. By agreeing to arbitration the registrant waves right to civil litigation. But, this
does not apply to claims involving employee discriminations or sexual harrasment.
FORM U5 - CORRECT ANSWER✔✔Disclosure documenta that must be provided to a RR by a BD
within 30 days of termination. Indicates if termination was voluntary or involuntary
10-k, 10-q - CORRECT ANSWER✔✔must be filed by publicly traded firms with over 10MM in
assets and over 500 shareholders (three 10-q filed per year)
8-k - CORRECT ANSWER✔✔filed withing 4 business days
for any material event that would affect the issuer's financial condition
Form 3 (insider reporting) - CORRECT ANSWER✔✔filed within 10 calendar days, notification to
SEC of achieving insider status. defined as officer, director or owner of more than 10% of the
voting securities
Form 4 (insider reporting) - CORRECT ANSWER✔✔within 2 business days notification to SEC of
any changes in position of an insider
Correct Answers
Form U4 - CORRECT ANSWER✔✔Requires all reps when registering with a BD to disclose:
-10 year employment history
-felony convictions, convistions for securities related misdemeanors or actions taken by a US or
foreign securities regulator that have occured within the past TEN YEARS (= statutory
disqualification or SD)
by signing U4 registered person agrees to use arbitration as a means of resolving disputes with
the employer. By agreeing to arbitration the registrant waves right to civil litigation. But, this
does not apply to claims involving employee discriminations or sexual harrasment.
FORM U5 - CORRECT ANSWER✔✔Disclosure documenta that must be provided to a RR by a BD
within 30 days of termination. Indicates if termination was voluntary or involuntary
10-k, 10-q - CORRECT ANSWER✔✔must be filed by publicly traded firms with over 10MM in
assets and over 500 shareholders (three 10-q filed per year)
8-k - CORRECT ANSWER✔✔filed withing 4 business days
for any material event that would affect the issuer's financial condition
Form 3 (insider reporting) - CORRECT ANSWER✔✔filed within 10 calendar days, notification to
SEC of achieving insider status. defined as officer, director or owner of more than 10% of the
voting securities
Form 4 (insider reporting) - CORRECT ANSWER✔✔within 2 business days notification to SEC of
any changes in position of an insider
