Challenge Your Exam Readiness With Our Free Series 26 License Practice Questions

Question # 21

What is the consequence if a firm fails to file Form BD amendments on time?

Options:

A.

The firm is exempt from supervision

B.

FINRA may impose fines or disciplinary action

C.

The amendment rolls over automatically

D.

SEC adjusts firm’s net capital requirement

Viewing question 21 out of 68 questions
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Series 26 License Overview

Name Series 26 License
Code Series 26 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 26 License Questions