SEC
Reg BI stands for
Regulation Best Interest
True or False, if a member chooses to use a on-demand webcast, video conference, interactive classroom etc. it must track the time spent on the webcast?
True, as well as have a click as you go confirmation and attestation at the end of the webcast.
Who must agree to allow the recording of a 1 on 1?
Crew Relations or Legal
The first successful oil well in the United States was drilled in this state
How many members of the team are celebrating their 10 Year Service Anniversary in 2026?
2
What regulation applies to privacy and safeguarding of customer information?
Regulation S-P
True or False, associated persons must be notified that amendments relevant to their activities and responsibilities have been made to Written Supervisory Procedures?
True - FINRA 3110 .11
Who is responsible for managing meeting recordings? (Notifying Participants, Managing Objections, Ensuring Recordings are used appropriately)
Meeting Organizer
The London Bridge was moved to this state
Arizona
If you needed to provide candy for the team, what candy would most likely be enjoyed by the most people?
Peanut Butter Cups
What rule states that confirmations should be prepared and mailed on the day of the transaction or the following business day?
Which very broad, one sentence FINRA Rule is often cited in rule violations?
FINRA 2010 - Commercial Honor
True or false, you can use a survey to identify skill gaps or training needs?
False
What two states are the only two to have not hosted a Men's US Open Golf Championship?
Florida & Arizona
If you needed to get the team lunch, what is the safest place to order from for team happiness?
Chick-Fil-A
What is SEC Rule 15c3-1 known as?
The Net Capital Rule
How many disclosures does Vanguard Marketing Corporation have with FINRA?
59
Records of Evidence to support each WSP should be kept for:
7 years
Which state's toast proclaims it to be land of the long leaf pine?
North Carolina
What vegetable should you not make for the team?
Beets
SEC Rule 606 requires firms to prepare quarterly reports that disclose information about their order routing practices for non-directed orders in NMS stocks and securities that are options contracts. In Q1 of 2026, where did most of Vanguard Brokerage S&P 500 stock orders go?
Citadel Securities
What is the gift dollar limit under FINRA 3220?
$300 per individual per year
What is the difference in the hotel rate cap between staying in Honolulu, Hawaii and Charlotte, NC
$200
Which of the 4 major professional sport leagues (NFL, MLB, NHL, NBA) has Vanguard State OSJ locations won the most championships in since 2020 and which state is the only one not to have won a championship?
Hockey, Arizona
What is the most popular month for combined birthdays and service anniversaries on the team?
January