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Exam Series 6 All Questions

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Exam Series 6 topic 1 question 123 discussion

Actual exam question from FINRA's Series 6
Question #: 123
Topic #: 1
[All Series 6 Questions]

After three warnings, Honest Broker-Dealer was forced to terminate Sly Conman, one of its representatives, for making inaccurate statements when offering its mutual fund products to customers.
After his registration is terminated:

  • A. Mr. Conman can apply for reinstatement of his license after 12 months.
  • B. Mr. Conman remains under the jurisdiction of FINRA for a period of 1 year.
  • C. Mr. Conman remains under the jurisdiction of FINRA for a period of 2 years.
  • D. Mr. Conman can apply for reinstatement of his license after 6 months, but will have to pay any applicable fees and retake a test.
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Suggested Answer: C 🗳️
After his registration is terminated, Mr. Conman remains under the jurisdiction of FINRA for a period of 2 years. During this time, FINRA is able to file complaints against Mr. Conman for actions he made prior to his termination.
by lolojepu at April 6, 2025, 1:18 a.m.

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