Holiday Treats
A confection that originated in the 1800’s is traditionally red and white but can be found in other colors and flavors
What is a candy cane
This rule effective on June 30, 2020 established a "best interest" standard of conduct for broker-dealers and associated persons when they make a recommendation to a retail customer
What is Regulation BI
There are many things you can misplace, and others you can find, the synonym to one of these is a popular one to strive to shed beginning on January 1
What is lose weight
123 Elf Road, North Pole, 88888
What is Santa Claus' address
This holiday celebrates a birthday, and involves a visit from Santa Claus
What is Christmas
A treat typically left out for Santa on Christmas Eve
What is milk and cookies
This Rule enables eligible companies to offer and sell securities through crowdfunding portals that permits a company to raise a maximum aggregate amount of $1,070,000 in a 12-month period
What is Regulation CF (crowdfunding)
Similar to birds who build their nests, many choose to save more of this throughout the year
What is save money
Where the New Year’s Eve Ball is dropped every December 31 in front of hundreds of thousands of spectators
Where is Times Square
It is the Hebrew word for “dedication.” This celebration takes place over eight days
What is Hanukkah
This dessert made with candied or dried fruits can be soaked in spirits or iced and decorated
What is a fruit cake
This regulation allows capital to be raised through the sale of equity or debt securities claiming certain exemption like Rule 504, 505 or 506
What is Regulation D
This is a trait that is well sought personally and professionally; now if you can only remember where you wrote it down
What is get organized
A tropical hot-spot when you want your feet in sand instead of snow. They will greet you by stating “Mele Kalikimaka!” during Christmas Day.
Where is Hawaii
This Hindu Holiday is well-known as the “festival of lights” and usually lasts five days
What is Diwali
The roots of this DIY tradition may lie in the folktale Hansel and Gretel
What is a gingerbread house
This Funding Portal rule requires that each funding portal member shall establish and maintain a system to supervise the activities of each associated person of the funding portal member
What is Funding Portal Rule 300
This may require some planning and research and budgeting, but achieving it can take you to new locations
What is travel more
The song "home for the Holidays" has a lyric about a man who lives in this state, and he was headin' for
Pennsylvania and some homemade pumpkin pie
What is Tennessee
This is well-known as the month of fasting in the Islamic cultures
What is Ramadan
A round jelly donut eaten in Israel and around the world on the Jewish festival of Hanukkah
What is a Sufganiyah
Since FINRA lacks subpoena power, this rule (which applies to both broker dealer and funding portal members) requires FINRA members, associated persons and persons subject to FINRA's jurisdiction to provide FINRA staff and adjudicators with requested books, records and accounts
What is FINRA Rule 8210
Whether its burning candles or attending a meditation class, this is sure to top many lists
What is reduce stress
The fictional town in which RKO Pictures 1946 film "It's a Wonderful Life" is set
What is Bedford Falls
This holiday means "First Fruits," is based on ancient African festivals and celebrates family life and unity
What is Kwanzaa