SIE - Securities Industry Essentials Exam

Preview Mode

Which of the following are Form U4 Reportable Events?

Outside Business Activities, Marriage, DUI Conviction
A
Outside Business Activities, Marriage, DUI Conviction, Compromise With Creditors
B
Outside Business Activities, DUI Conviction, Compromise With Creditors
C
Outside Business Activities & DUI Conviction
D

Explanations

All are required to be disclosed except marriage.

Pricing