SIE - Securities Industry Essentials Exam
A registered rep takes on a board level role outside the registered member firm. Which of the following are true?
It is not disclosable; since it is outside the registered member firmA
It must be disclosed on a U5 by the member; if securities are purchasedB
This must be disclosed as an outside business activityC
There is no disclosure, if the member does not buy securitiesD
This must be disclosed as an outside business activity.
Part of the questions for each course
- 20 of 150
- Series 6
- 30 of 500
- Series 7
- 50 of 625