Khung pháp lýCâu 366 / 398
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?
a.10 days
b.60 days
c.45 days
d.30 days
Giải thích
A member firm must file Form U5 within 30 days of an associated person's termination. The firm must also provide a copy of the U5 to the individual. The U5 reports the reason for termination and any disclosures that arose.
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?
- 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?
- When a person applies to become registered as an associated person of a member firm, which form does the firm submit on their behalf?
- 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