SIE Overview of the Regulatory Framework Practice Question 8
Question: 8
In which of the following Articles are standards of behavior for FINRA members and associated persons described?
Correct Answer: B
Explanation:
B: Choice B is correct because this section lists, in addition to registration requirements, the members' and associated persons' actions in the industry and how they are expected to conduct themselves. Choice A is incorrect because this explains the meaning of words and phrases that are used through the By-Laws. Choice C is incorrect because this describes the application for membership and agreements for members to make. Choice D is incorrect because this explains which persons can perform securities or investment banking business.
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