SIE Exam Question 486: Answer and Explanation

Question: 486

You are the owner of a restaurant and you would like to have a guitarist play in the lounge on Saturday evenings. You have known your representative for 15 years and know her to be a great jazz guitarist. You think she would like to play and ask her if she is available to do so. She would have to notify which of the following before accepting your offer?

• A. No one, because it is not securities related and she is on her own time.
• B. Her firm.
• C. NYSE.
• D. FINRA.

Correct Answer: B

Explanation:

B: The representative would have to notify her employer before working outside the office in any capacity.