Question

a report must be sent promptly to FINRA if a registered employee of a member firm for all of the following EXCEPT: A has violated the Securities Acts B is the subject of a written customer complaint alleging theft C is suspended or expelled by another Self Regulatory Organization D is ticketed for careless driving

Answer 1

D

is ticketed for careless driving

Step-by-step explanation:

FINRA Rule 4530 says one can report

each member of the firm promptly to FINRA, within 30 calendar days,