SIE Exam Practice Question 897

Question: 897

Which of the following is correct regarding IAR registration?

A. Individual registrations can be administered at the state level or federal level, depending on where the RIA firm is registered.

B. All individual registrations are administered at the federal level, regardless of whether the RIA firm is registered at the SEC or state level.

C. All individual registrations are administered at the state level, regardless of whether the RIA firm is registered at the SEC or state level.

D. None of the above are correct.