SIE - Securities Industry Essentials Exam

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Which of the following is required to be reported to FINRA?

Pleading no contest to a felony in a military court
A
Being arrested and no criminal charge is filed
B
Misdemeanor conviction of failure to file income tax
C
Misdemeanor gambling conviction
D

Explanations

A is required to be reported. The other 3 are not.

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