If a sales representative moves from one broker-dealer to another, who must notify the Administrator?
I. Sales representative
II. Previous broker-dealer
III. New broker-dealer
a) I only
b) I, II & III
c) III only
d) II only
I, II and III are correct since all parties are required to notify the Administrator.
The correct answer is A) In a Roth IRA, there is no required distribution date as there is in a traditional IRA.
Free info on financial certification exams including study guides, exam questions, and much more!
The correct answer is C). SEC Release IA-1092 considers financial planners, pension consultants and sports and entertainment ...
The correct answer is a): Since Todd owns the stock and expects another stagnant year ahead, he would employ a covered call ...
A examination to ensure a candidate is qualified to become a ...
A person who prepares investigative reports on equity securities. ...
An exam required for individuals seeking to engage in off-exchange ...
One who provides financial advice or guidance to customers for ...
An exam offered by the Financial Industry Regulatory Authority ...
An exam given by the Financial Industry Regulatory Authority ...