SIE Exam Question 831: Answer and Explanation

Question: 831

Which of the following elements of FINRA's Continuing Education Program requires broker-dealers to establish a formal training program to keep covered registered persons updated on job and product-related subjects?

• A. Compliance Element
• B. Firm Element
• C. Regulatory Element
• D. Regulatory and Firm Elements

Correct Answer: B

Explanation:

The Firm Element of FINRA's Continuing Education Program requires broker-dealers to establish a formal training program to keep covered registered persons updated on job and product-related subjects.