Series 14: Exercise

Taken from our Series 14 Online Guide

Exercise

Choose the best answer.

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. 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. FINRA reviews Jone

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