Series 7: Exercise

Taken from our Series 7 Top-off Online Guide

Exercise

Answer true or false.

  1. 1. _____ Member firms are not required to forward material such as annual reports or information statements to beneficial owners.
  2. 2. _____ Theft, forgery, and misappropriation of funds need to be reported to FINRA within 30 days.
  3. 3. _____ Claim for damages above $15,000 against associated person need to be reported to FINRA within 30 days.
  4. 4. _____ An

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