Khung pháp lýCâu 386 / 398
A newly hired individual will supervise the firm's general securities sales activities and approve new accounts. To act as a supervisor, this person must typically qualify as a:
a.Principal (for example, by passing the Series 24)
b.Representative only (SIE plus Series 7)
c.Registered options trader
d.Municipal advisor representative
Giải thích
Individuals who supervise the securities business of a member firm must generally register as principals, such as by passing the Series 24 General Securities Principal exam. Representatives handle sales to customers, while principals manage and supervise those activities and approve certain firm actions. Both must also pass the SIE.
Trích dẫn luật: FINRA RulesLuyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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- A member firm receives a written customer complaint alleging misconduct by a registered representative involving the customer's funds. What is the firm's general obligation regarding this complaint?
- Which statement about the relationship between FINRA and the SEC is most accurate?
- Under general recordkeeping rules of the Securities Exchange Act of 1934, certain fundamental broker-dealer records, such as blotters and ledgers, must generally be retained for a minimum of:
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- How does the Form U5 filed by a departing representative's firm affect the individual's ability to move to a new member firm?
- Which of the following is generally NOT within FINRA's direct regulatory jurisdiction?
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