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Lesson 13: FINRA Registration Exam Practice Questions and Answers
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Lesson 13: FINRA Registration Exam Practice Questions and Answers Regulatory Overview - Answer️️ - RR Registration Process - Answer️️ - If a rep is associated with broker-dealer A and leaves and begins to work for Broker- Dealer B what regulatory filings must be completed? - Answer️�...

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  • September 25, 2024
  • 6
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • lesson 13 finra registration exam practice questi

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EmillyCharlotte

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

Lesson 13: FINRA Registration Exam
Practice Questions and Answers

Regulatory Overview - Answer✔️✔️-


RR Registration Process - Answer✔️✔️-

If a rep is associated with broker-dealer A and leaves and begins to work for Broker-

Dealer B what regulatory filings must be completed? - Answer✔️✔️-Form U5 then Form

U4

(Form U5 = to leave and Form U4 = to associate)

How much time may elapse when an individual is not affiliated with a member firm

before a securities industry essential credential will lapse? - Answer✔️✔️-4 years

How much time may elapse when an individual is not affiliated with a member firm

before a top-off series exam credential will lapse - Answer✔️✔️-2 years

BrokerCheck Disclosure - Answer✔️✔️-Brokercheck discloses the background of

brokers, advisers, and investment firms to the public

-employment history

-licensing information & regulatory action

-arbitrations

-complaints




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, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
ANNUAL notification to customers

-FINRA brokercheck hotline

-FINRA website address

-Investor brochure

Statutory Disqualification - Answer✔️✔️-Statutory Disqualification prevents a person or

firm from becoming registered



10 year ban for:

-felony conviction (any type)

-misdemeanor conviction involving securities, investments, fraud, or other unethical

activities

-explusion from other SROs

-violations of federal securities laws



Q: a rep convicted of securities fraud 12 years ago is subject to SD?

-FALSE > 10 years



Q: a rep convicted of felony assault fraud 8 years ago is subject to a SD?

A: true, felony < 10 years ago

a rep convicted of securities fraud 12 years ago is subject to SD? - Answer✔️✔️--FALSE

> 10 years


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