Khung pháp lýCâu 364 / 398
A broker-dealer wants to begin conducting a securities business for the first time. Which form must the firm file to register as a broker-dealer?
a.Form U4
b.Form ADV
c.Form BD
d.Form U5
Giải thích
A firm registers as a broker-dealer by filing Form BD (Broker-Dealer). Form U4 and U5 apply to individual associated persons, and Form ADV is used by investment advisers. Form BD is filed through the Central Registration Depository (CRD) system.
Trích dẫn luật: FINRA RulesLuyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- Which federal agency has ultimate authority to oversee the U.S. securities markets and the self-regulatory organizations that operate within them?
- When a person applies to become registered as an associated person of a member firm, which form does the firm submit on their behalf?
- A registered representative resigns from her broker-dealer to take a job in a different industry. Within how many days must the firm file a Form U5 to report her termination?
- Which self-regulatory organization has primary jurisdiction over rules governing the municipal securities market, including the conduct of municipal securities dealers?
- The Securities Industry Essentials (SIE) exam differs from a qualification exam such as the Series 7 in that the SIE:
- Under FINRA's continuing education requirements, the Regulatory Element is designed primarily to:
Cập nhật gần nhất: · quy trình kiểm tra
Đội Ngũ Biên Tập PrepPass · Đối chiếu với FINRA Securities Industry Essentials (SIE) Exam · Quy trình kiểm tra