SIE - Securities Industry Essentials Exam

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If a registered rep is a subject of a written complaint by a customer regarding misappropriation of funds, the member firm must notify FINRA:

Within 30 calendar days
A
Within 15 business days
B
Within 7 calendar days
C
Within 1 business day
D

Explanations

The member must report the event no later than 30 calendar days after having knowledge of the existence of the complaint.

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