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sweet [91]
3 years ago
15

a report must be sent promptly to FINRA if a registered employee of a member firm for all of the following EXCEPT: A has violate

d the Securities Acts B is the subject of a written customer complaint alleging theft C is suspended or expelled by another Self Regulatory Organization D is ticketed for careless driving
Business
1 answer:
Gnom [1K]3 years ago
6 0

Answer:

D

is ticketed for careless driving

Explanation:

FINRA Rule 4530 says one can report

each member of the firm promptly to FINRA, within 30 calendar days,

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