SIE Exam Question 530: Answer and Explanation

Question: 530

Which of the following is a free tool provided by FINRA that is intended to help consumers research the professional backgrounds of brokers and brokerage firms, as well as investment adviser firms and advisers?

• A. BrokerCheck
• B. FirmCheck
• C. InvestorCheck
• D. None of the above are correct.

Correct Answer: A

Explanation:

BrokerCheck is a free tool provided by FINRA that is intended to help consumers research the professional backgrounds of brokers and brokerage firms, as well as investment adviser firms and advisers.