SIE practice questionmediumAppeals to the SEC
After exhausting the SRO's internal appeals, a firm can appeal disciplinary decisions to:
- AFINRA
- BThe SEC✓ Correct answer
- CThe FBI
- DThe President
Explanation
Why B — The SEC
Disciplinary decisions can be appealed to the SEC after internal SRO appeals have been used.
Turn it into reps
Reading one answer is not the same as being ready
Lucky the Banker is a free practice app with 1,867+ SIE questions, weak-area tracking, and timed mock exams. No credit card, no paywall.
Related Regulatory Framework questions