FINRA /
Series
/ /
26 Exam Questions With Correct Answers
/ // // // // //
FINRA //Rule //3010 //- //correct //answer(s) //✔✔ //Rule //that //states //each //member //must:
I. //Establish //written //supervisory //procedures
II. //A //registered //principal //is //responsible //for //reviewing //procedures
III. /
/Each /
/rep /
/is /
/assigned /
/to //
a/
/principal /
/in /
/charge /
/of /
/supervising /
/their //activities, //review //of //communication, //& //correspondence //bw //reps //& //the //public
FINRA /
/Rule /
/8000 //- /
/correct /
/answer(s) /
/✔✔ /
/Investigations //
&/
/Sanctions. /
/Must /
,/keep /
/and //maintain //a //current //copy //of //the //manual //in //a //readily //accessible //place //and //provide //it
//at //a //customer's //request.
FINRA /
/Rule /
/9000 //- /
/correct /
/answer(s) /
/✔✔ /
/Covers /
/handling /
/of /
/securities /
/violations //and //complaints. //Think //what //happens //after //an //investigation //(Rule //8000)
District /
/Business /
/Conduct /
/Committee //- //correct //answer(s) //✔✔ //Has //initial //jurisdiction //in //handling //of //complaints.
Penalties /
/the /
/DBCC //
&/
/Board /
/of //Governors //can //impose //- //correct //answer(s) //✔✔ //Censure, //fine, //suspend, //expel, //bar
FINRA //Rule //IM-
3110 //- /
/correct /
/answer(s) /
/✔✔ /
, /Defines /
/complaint, //says //each //OSJ //must //maintain //a //record //of //complaints //and //any //action //taken.
Complaint //- /
/correct /
/answer(s) /
/✔✔ /
/Any /
/written /
/statement /
/of //a //customer //or //any //person //acting //on //behalf //of //the //customer //alleging //a //grievance
Code /
/of /
/Procedure //- //correct //answer(s) //✔✔ //Deals //with //rules //that //cover //actions //by //FINRA //against
//member //firms //and //their //associated //people
Code /
/of /
/Arbitration //- /
/correct /
/answer(s) /
/✔✔ /
/requires /
/disputes /
/be //submitted //for //arbitration. //Includes //member //and //customer //and/or //associated //person
Director //of //Mediation //- //correct //answer(s) //✔✔ //Person //appointed //by //FINRA //to //administer
//proceedings
FINRA /
/Rule /
/3020 //- /
/correct /
Series
/ /
26 Exam Questions With Correct Answers
/ // // // // //
FINRA //Rule //3010 //- //correct //answer(s) //✔✔ //Rule //that //states //each //member //must:
I. //Establish //written //supervisory //procedures
II. //A //registered //principal //is //responsible //for //reviewing //procedures
III. /
/Each /
/rep /
/is /
/assigned /
/to //
a/
/principal /
/in /
/charge /
/of /
/supervising /
/their //activities, //review //of //communication, //& //correspondence //bw //reps //& //the //public
FINRA /
/Rule /
/8000 //- /
/correct /
/answer(s) /
/✔✔ /
/Investigations //
&/
/Sanctions. /
/Must /
,/keep /
/and //maintain //a //current //copy //of //the //manual //in //a //readily //accessible //place //and //provide //it
//at //a //customer's //request.
FINRA /
/Rule /
/9000 //- /
/correct /
/answer(s) /
/✔✔ /
/Covers /
/handling /
/of /
/securities /
/violations //and //complaints. //Think //what //happens //after //an //investigation //(Rule //8000)
District /
/Business /
/Conduct /
/Committee //- //correct //answer(s) //✔✔ //Has //initial //jurisdiction //in //handling //of //complaints.
Penalties /
/the /
/DBCC //
&/
/Board /
/of //Governors //can //impose //- //correct //answer(s) //✔✔ //Censure, //fine, //suspend, //expel, //bar
FINRA //Rule //IM-
3110 //- /
/correct /
/answer(s) /
/✔✔ /
, /Defines /
/complaint, //says //each //OSJ //must //maintain //a //record //of //complaints //and //any //action //taken.
Complaint //- /
/correct /
/answer(s) /
/✔✔ /
/Any /
/written /
/statement /
/of //a //customer //or //any //person //acting //on //behalf //of //the //customer //alleging //a //grievance
Code /
/of /
/Procedure //- //correct //answer(s) //✔✔ //Deals //with //rules //that //cover //actions //by //FINRA //against
//member //firms //and //their //associated //people
Code /
/of /
/Arbitration //- /
/correct /
/answer(s) /
/✔✔ /
/requires /
/disputes /
/be //submitted //for //arbitration. //Includes //member //and //customer //and/or //associated //person
Director //of //Mediation //- //correct //answer(s) //✔✔ //Person //appointed //by //FINRA //to //administer
//proceedings
FINRA /
/Rule /
/3020 //- /
/correct /
