Question # 53

Who must sign the broker-dealer’s FOCUS Report?

Options:

A.

FINRA Examiner

B.

Chief Executive Officer

C.

Financial and Operations Principal (FINOP)

D.

Chief Compliance Officer

Viewing question 53 out of 68 questions
Industry research shows that students who utilize Series 27 License practice tests are significantly more likely to pass exam.


Our free Series 27 License practice questions act as a diagnostic tool to give you a clear snapshot of your Series 27 License readiness. Discover which topics are your strengths and, more importantly, which critical topics require your immediate attention.