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Financial Industry Regulatory Authority (FINRA) Exam Questions and Answers A registered representative with ABC Securities, a FINRA member broker/dealer, terminates his registration and affiliates with XYZ Securities, another FINRA member broker/dealer. Which of the following statements is CORR...

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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

Financial Industry Regulatory Authority
(FINRA) Exam Questions and Answers

A registered representative with ABC Securities, a FINRA member broker/dealer,

terminates his registration and affiliates with XYZ Securities, another FINRA member

broker/dealer. Which of the following statements is CORRECT? - Answer✔️✔️-

Continuing commissions on clients remaining with ABC can be paid to the registered

representative if it is in the representative's contract.

As long as the new affiliation takes place within two years of the termination, there

would not be a requirement to re-qualify by examination.

Continuing commissions may be paid on business that "continues" to accrue at the

initial B/D as long as it is in the employee's contract. There is a two-year limit on re-

registering without need to re-take the exam. It would be a prohibited practice to remove

files from the office and there is nothing to stop the representative's clients from

changing their B/D of record to the new firm

FINRA was established to - Answer✔️✔️-encourage just and equitable principles of trade.

adopt and enforce its Conduct Rules among brokers and dealers.

Which of the following statements about FINRA are TRUE? - Answer✔️✔️-It has authority

to regulate the OTC market in nonexempt securities.

All branch offices of a member broker/dealer must be registered with FINRA.



1/15

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
Firms transacting business in the over-the-counter market and/or members of the New

York Stock Exchange must register with the SEC and are eligible for membership in

FINRA. If a broker/dealer is a member, each branch office of the broker/dealer must be

registered with FINRA. Not all broker/dealers are required to be FINRA members, and

they may also hold membership in other exchanges.

Which of the following changes to a U-4 form must be communicated to the registered

representative's broker/dealer and to FINRA? - Answer✔️✔️-Bankruptcy

The broker/dealer and FINRA must be notified if a registered representative files for

bankruptcy; the other occurrences listed do not require FINRA notification

If a FINRA member firm suspends a registered representative, the firm must report the

suspension to: - Answer✔️✔️-FINRA.

The firm must report the suspension to its designated examining authority (DEA), in this

case, the Financial Industry Regulatory Authority (FINRA).

A change to which of the following items requires amending the Form U-4? -

Answer✔️✔️-A home address change requires an amendment to Form U-4. A change to

the member firm's address requires the firm to amend its Form BD, but not the

representative's Form U-4. Marital status and vacation home address are not items of

information on Form U-4.

FINRA fees paid by a member firm are based on which of the following - Answer✔️✔️-

FINRA fees are determined by the number of registered representatives, principals, and

branch offices registered with FINRA.

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