SIE Overview of the Regulatory Framework Practice Question 3
Question: 3
Which of the following is a part of the FINRA continuing education requirements?
Correct Answer: D
Explanation:
D: The firm element is a part of the FINRA continuing education requirement that is developed and administered each year to its FINRA-registered associated persons as appropriate. Choices A, B, and C are not parts of the FINRA continuing education requirements. The other part is the regulatory element, which FINRA updates and administers.
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