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.
Pricing
Basic
Part of the questions for each course
-
- Course
- Questions
-
- SIE
- 20 of 150
-
- Series 6
- 30 of 500
-
- Series 7
- 50 of 625