SIE Exam Question 522: Answer and Explanation

Question: 522

At a member firm, which of the following must be registered?

• A. A back-office margin clerk who assists the head of the margin department.
• B. A corporate officer whose sole function is to act as liaison between the board of directors and management.
• C. A receptionist who takes messages from customers inquiring about their accounts.
• D. A part-time sales assistant who occasionally takes verbal orders from customers.

Correct Answer: D

Explanation:

D: The part-time sales assistant who takes orders from customers must be registered because she is taking orders.