SIE Exam Practice Question 384

Question: 384

When an agent engages in securities activities outside the scope of their broker-dealer,

A. the agent must update their Form U-4 within 30 days.

B. the agent must disclose this activity to their principal within 24 hours.

C. the agent must show they understand the suitability requirements of the securities being sold.

D. the agent is in violation of FINRA rules prohibiting selling away.