SIE Overview of the Regulatory Framework Practice Question 1

Question: 1

Which of the following is required to be a member of the Financial Industry Regulatory Agency (FINRA)?

A. A bank that wishes to make loans to a governmental unit

B. A public official who wishes to be appointed to the Federal Reserve

C. A company that wishes to issue an initial public offering (IPO)

D. A firm that wishes to take orders for securities