Answered step by step
Verified Expert Solution
Question
1 Approved Answer
A broker - dealer intends to hire a salesperson who has never worked for a member firm. During the interview, the candidate discloses that he
A brokerdealer intends to hire a salesperson who has never worked for a
member firm. During the interview, the candidate discloses that he was
arrested and charged with a misdemeanor for forgery. Which of the
following statements is TRUE?
A This is not required to be disclosed on the person's Form U
This must be disclosed on the person's Form U
This only needs to be disclosed on the person's form U if he's convicted.
This only needs to be disclosed to the person's firm; it's not required to be disclosed on his Form U
Step by Step Solution
There are 3 Steps involved in it
Step: 1
Get Instant Access to Expert-Tailored Solutions
See step-by-step solutions with expert insights and AI powered tools for academic success
Step: 2
Step: 3
Ace Your Homework with AI
Get the answers you need in no time with our AI-driven, step-by-step assistance
Get Started