Khung pháp lýCâu 376 / 398
Before a person can be fingerprinted and registered as an associated person, fingerprinting is required primarily to:
a.Confirm the applicant's citizenship status
b.Determine the applicant's credit score
c.Support a criminal background check for the registration process
d.Verify the applicant's educational credentials
Giải thích
Under the Securities Exchange Act and FINRA rules, associated persons who handle securities, funds, or supervise such activities must be fingerprinted. The fingerprints support a criminal background check that helps identify statutory disqualifications. Firms submit fingerprint information through FINRA to the FBI.
Trích dẫn luật: FINRA RulesLuyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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