SIE Overview of the Regulatory Framework Practice Question 7

Question: 7

Which of the following connects a registered person's political contributions with the ability to perform certain activities for compensation?

A. FINRA Rule 2030 – Engaging in Distribution and Solicitation Activities with Government Entities

B. FINRA Rule 3270 – Outside Business Activities of Registered Persons

C. FINRA Rule 4513 – Written Customer Complaints

D. FINRA Rule 3280 – Private Securities Transactions of an Associated Person