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Registration & Conduct Rules flashcards
24 cards on registration & conduct rules for the SIE exam. Short answers, one fact per card, and a line under each explaining why. Here is what the prompts look like:
- Which form does a firm file to register a new representative?Answer inside
- When a registered person leaves a broker-dealer, the employer files a ＿＿＿Answer inside
- FINRA keeps jurisdiction over a person for ＿＿＿ years after a Form U5 is filedAnswer inside
- What is the FINRA database holding every registered person's record called?Answer inside
- A felony conviction within the past ten years causes statutory ＿＿＿Answer inside
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