Khung pháp lýCâu 391 / 398
The Central Registration Depository (CRD) system, operated by FINRA, primarily serves to:
a.Clear and settle securities trades between firms
b.Store registration, employment, and disciplinary information about firms and associated persons
c.Set margin requirements for customer accounts
d.Approve securities for listing on exchanges
Giải thích
The CRD is the central licensing and registration system for the U.S. securities industry, maintained by FINRA. It houses information from Forms BD, U4, and U5, including employment history and disciplinary records. Much of this information is made available to the public through BrokerCheck.
Trích dẫn luật: FINRA RulesLuyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- 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?
- A registered person fails to complete their required Regulatory Element continuing education by the applicable deadline. What is the typical consequence?
- A representative wants to participate in a private securities transaction on behalf of a customer and will NOT receive any selling compensation. Under FINRA rules, the representative must at minimum:
- In a FINRA arbitration involving a public customer, which statement is generally TRUE about the outcome?
- The Securities Exchange Act of 1934 is best known for:
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