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Question # 60

A supervisor learns that a registered representative has repeatedly failed to attend mandatory compliance training. What is the supervisor’s best course of action?

Options:

A.

Ignore the issue if the rep has no customer complaints

B.

Report the rep to FINRA immediately

C.

Document the non-attendance and escalate through firm disciplinary procedures

D.

Reassign the rep’s clients to another associate

Viewing question 60 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