Series 7: Exercise

Taken from our Series 7 Top-off Online Guide

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Exercise

Answer true or false.

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

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