Question

When notifying their firm of proposed outside business activities, registered representatives must provide the following information:

A. The name of the issuer of the securities they plan to sell
B. The type of securities they plan to sell
C. The amount of securities they plan to sell
D. The compensation they will receive for selling the securities
E. Any other relevant information

Answer 1

Registered representatives must provide several pieces of information when notifying their firm of proposed outside business activities, including the name of the issuer of the securities they plan to sell, the type of securities, the amount, the compensation they will receive, and any other relevant information.

Step-by-step explanation:

Registered representatives, when notifying their firm of proposed outside business activities, must provide several pieces of information. These include:

1. The name of the issuer of the securities they plan to sell
2. The type of securities they plan to sell
3. The amount of securities they plan to sell
4. The compensation they will receive for selling the securities
5. Any other relevant information

By providing this information, registered representatives ensure that their firm is aware of their outside activities and can assess any potential conflicts of interest.