SIE: Exercise

Taken from our SIE Online Guide

Exercise

Answer the following questions

  1. 1. Jones Brothers, a broker-dealer, has just submitted its application to register with the SEC. How many days does the SEC have to respond?
  2. 2. Next, Jones Brothers applies to FINRA for membership. Once the application is submitted, how long does FINRA have to review the application for completeness?
  3. 3. FINRA reviews Jone

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