SIE - Securities Industry Essentials Exam
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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 firm
A
It must be disclosed on a U5 by the member; if securities are purchased
B
This must be disclosed as an outside business activity
C
There is no disclosure, if the member does not buy securities
D
Explanations
This must be disclosed as an outside business activity.
Pricing
Basic
Part of the questions for each course
-
- Course
- Questions
-
- SIE
- 20 of 150
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- Series 6
- 30 of 500
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- Series 7
- 50 of 625