SIE practice questioneasyFINRA Rule 4530
FINRA Rule 4530 requires broker-dealers to report which of the following events?
- AAdvertising expenditures
- BDaily trade volumes
- CQuarterly earnings
- DMaterial internal disciplinary actions✓ Correct answer
Explanation
Why D — Material internal disciplinary actions
Rule 4530 mandates reporting of internal disciplinary actions and certain legal/regulatory events.
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