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Exam (elaborations)

SIE- FINRA (Questions with correct solutions)

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FINRA correct answers Financial Industry Regulatory Authority. product of NYSE and NASD merging. Formed in mid 2007 REGISTERED REPRESENTATIVE correct answers any person who accepts or solicits orders to buy or sell. any individual that makes a recommendation to a customer or who performs a suitability determination for a customer. who must be registered correct answers sales personnel operating officers of the broker-dealer securities traders client-facing back office personnel. U4 form correct answers Must be filed to register with any SRO and be filed with the Central Registration Depository. Disqualified from U4 if any of these apply to you: 1. False reports. 2. Bribery 3. Perjury 4. ANY other felony. Banned for 10 years and needs waiver to be hired All this info is entered into the Central Registration Depository (CRD) database run by FINRA.

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