SEC 5.3
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Questions and Answers

  1. An individual applying for registration as an associated person will be rejected if she A. submitted an application for registration which omitted mention of a minor traffic violation that occurred two years ago. B. failed to include the zip code on her home address. C. is under a court injunction regarding a domestic issue. D. is under an order of a foreign financial regulator denying, suspending, or revoking her registration or barring her from association with a broker-dealer.

  • submitted an application for registration which omitted mention of a minor traffic violation that occurred two years ago.
  • failed to include the zip code on her home address.
  • is under a court injunction regarding a domestic issue.
  • is under an order of a foreign financial regulator denying, suspending, or revoking her registration or barring her from association with a broker-dealer. (correct)

    1. As a means of protecting the integrity of the industry and protecting the investing public, associated persons of FINRA member firms must submit fingerprint records to A. the U.S. attorney general. B. the attorney general for the state in which they reside. C. the Securities and Exchange Commission (SEC). D. the FBI.

  • the U.S. attorney general. (correct)
  • the attorney general for the state in which they reside.
  • the Securities and Exchange Commission (SEC).
  • the FBI.

    1. Which of the reasons for termination from Form U5 do not require a detailed explanation?
    2. Discharged Il. Permitted to resign III. Deceased IV. Voluntary V. Other A. l and II B. Il and Ill C. Ill and IV D. 1, 11, and V

  • l and II
  • Il and Ill
  • Ill and IV (correct)
  • 1, 11, and V

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