SIE practice questionhardReporting disciplinary action to customers
If a registered representative is subject to significant disciplinary action, when must customers be notified?
- ANotification is not required
- BWithin 30 days
- CWithin 60 days
- DWhen the action is disclosed publicly✓ Correct answer
Explanation
Why D — When the action is disclosed publicly
Customers must be notified promptly if the event is material and disclosed publicly by the firm or regulator.
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