SIE practice questionmediumFINRA Registration
Before an individual may represent a broker-dealer to the public, they must:
- ABe a U.S. citizen
- BRegister with FINRA and pass qualifying exams✓ Correct answer
- CWork for the SEC
- DRegister with the Department of State
Explanation
Why B — Register with FINRA and pass qualifying exams
Registration with FINRA and passing required exams are prerequisites for working with the public.
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