SIE practice questionhardFINRA - Disciplinary Actions
If a registered representative is found to have committed securities fraud, which regulatory body may impose disciplinary action?
- AFINRA✓ Correct answer
- BNASDAQ
- CFederal Reserve
- DU.S. Treasury
Explanation
Why A — FINRA
FINRA regulates its members and can impose sanctions for violations. NASDAQ is a marketplace, Fed and Treasury do not discipline representatives.
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