SIE - Securities Industry Essentials Exam
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 daysA
Within 15 business daysB
Within 7 calendar daysC
Within 1 business dayD
The member must report the event no later than 30 calendar days after having knowledge of the existence of the complaint.