Series 10 Practice Questions - General Securities Sales Supervisor (General) Exam

A registered representative wants to engage in an outside business activity. What is required?

No notification is required if the activity is unrelated to securities Written notice must be provided to the member firm before engaging in the activity FINRA approval is required for all outside business activities Only verbal notification to the immediate supervisor is required

Correct Answer:

Written notice must be provided to the member firm before engaging in the activity

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