SIE - Securities Industry Essentials Exam
Preview Mode
A broker-dealer has to terminate a representative's association with the firm because the rep has changed firms. What must the broker-dealer fill out and submit to FINRA?
U-3
A
U-4
B
U-5
C
U-6
D
Explanations
The old firm must fill out and submit a completed U-5 form to FINRA.
Pricing
Basic
Part of the questions for each course
-
- Course
- Questions
-
- SIE
- 20 of 150
-
- Series 6
- 30 of 500
-
- Series 7
- 50 of 625