Series 52: Exercise

Taken from our Series 52 Top Off Online Guide

Exercise

Fill in the blank

  1. 1. Broker-dealers must retain an associated person’s Form U-4 in its records for at least _____ after that person has stopped working for the firm.
  2. 2. Registered personnel must participate in continuing education programs, which include both a regulatory element and a _____ element.
  3. 3. The SEC and other governing regulatory agencies may censure or suspend a dealer for a period up to 12 months or revoke their registration for engaging in prohibited

Since you're reading about Series 52: Exercise, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 52
Please Enable Javascript
to view this content!