Investment Company and. Variable Contracts Products Principals (Series 26) Practice Exam

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Which day is used as the markup deadline for a member’s branch office registration after exceeding the transaction threshold?

10 days
20 days
30 days
60 days

The correct answer is: 30 days

The markup deadline for a member’s branch office registration after exceeding the transaction threshold is set at 30 days. This means that once a member’s branch office has exceeded the specified transaction threshold, they are required to register that branch office with the appropriate regulatory authority within a 30-day period. This rule is in place to ensure that the broker-dealer maintains compliance with regulatory requirements and can effectively oversee its operations in various locations. The 30-day timeframe provides a reasonable period for the necessary paperwork and compliance checks to be completed, allowing for timely registration and oversight in the financial services industry.