Challenge Your Exam Readiness With Our Free Series 9/10 License Practice Questions

Question # 9

When must firms report disciplinary events to FINRA?

Options:

A.

10 days

B.

15 days

C.

30 days

D.

At year-end

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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