SIE Exam: Overview of the Regulatory Framework Practice Test 1

1. Which of the following is required to be a member of the Financial Industry Regulatory Agency (FINRA)?

2. Which of the following may only be done by a person registered with FINRA?

3. Which of the following is a part of the FINRA continuing education requirements?

4. Which of the following is the Application for Securities Industry Registration or Transfer?

5. Which of the following constitutes a reportable customer complaint?

6. Which of the following does FINRA Rule 3270 (Outside Business Activities of Registered Persons) require a member firm to consider before approving an outside business activity (OBA)?

7. Which of the following connects a registered person's political contributions with the ability to perform certain activities for compensation?

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