Social Studies, 20.09.2019 00:30 youngsunc02
Aregistered representative has been indicted for theft, which was unrelated to his employment at the member firm. which of the following statements is true?
a. no action is required by the registered person until a verdict has been reached.
b. no action is required since the theft was unrelated to the registered person's employment.
c. the registered person is permitted to remain employed by the member firm, but the event must be reported to finra.
d. the registered person is not permitted to remain employed by the member and the event must be reported to finra.
Answers: 1
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Aregistered representative has been indicted for theft, which was unrelated to his employment at the...
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