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Question # 3

A representative fails to report a misdemeanor charge involving theft. What must the supervisor do?

Options:

A.

Ignore it if it’s not a felony

B.

Require U4 amendment within 30 days

C.

Report to FINRA only if convicted

D.

Terminate immediately

Viewing question 3 out of 63 questions
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Series 9/10 License Overview

Name Series 9/10 License
Code Series 9/10 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 9/10 License Questions