SIE Exam Question 831: Answer and Explanation

Question: 831

Which of the following elements of FINRA's Continuing Education Program requires broker-dealers to establish a formal training program to keep covered registered persons updated on job and product-related subjects?

  • A. Compliance Element
  • B. Firm Element
  • C. Regulatory Element
  • D. Regulatory and Firm Elements

Correct Answer: B

Explanation:

The Firm Element of FINRA's Continuing Education Program requires broker-dealers to establish a formal training program to keep covered registered persons updated on job and product-related subjects.

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