Before an individual may represent a broker-dealer to the public, they must:

1. ABe a U.S. citizen
2. BRegister with FINRA and pass qualifying exams✓ Correct answer
3. CWork for the SEC
4. DRegister with the Department of State

Reading one answer is not the same as being ready

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• SRO advertising rules are designed primarily to:
• Which database allows the public to view disciplinary history of registered representatives?
• If an SRO rule conflicts with a federal securities law, which prevails?
• The SEC’s role with respect to SROs is best described as: