Khung pháp lýCâu 396 / 398
Which of the following registration categories would a person most likely need to sell general securities, including stocks and bonds, to retail customers?
a.Series 6 Investment Company Products representative
b.Series 24 General Securities Principal
c.Series 7 General Securities Representative
d.Series 27 Financial and Operations Principal
Giải thích
The Series 7 General Securities Representative registration, taken together with the SIE, qualifies a person to sell a broad range of securities including stocks, bonds, and options to retail customers. The Series 6 is limited to packaged products. Principal categories such as Series 24 and 27 are for supervisory and financial-operations roles, not general retail sales.
Trích dẫn luật: FINRA RulesLuyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- 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:
- A firm discovers that one of its representatives opened a brokerage account at another member firm without notifying either firm. Under FINRA rules on accounts at other broker-dealers, the representative generally must:
- A representative is offered, and wants to accept, an appointment to the board of directors of a private company in exchange for a fee. Under FINRA rules, this is best handled as:
- FINRA's BrokerCheck tool is best described as:
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