Series 26 Practice Questions - Investment Company And Variable Contracts Products Principal Exam

A broker-dealer is opening a new branch office. Under FINRA Rule 3110.07, what action must the firm take?

File Form BR within 10 business days of opening File Form BR within 30 calendar days of opening No filing is required for branch offices Notify the SEC only, not FINRA

Correct Answer:

File Form BR within 30 calendar days of opening

Access more questions from this quiz

Continue to Series 26 Practice Questions - Investment Company and Variable Contracts Products Principal Exam for more practice questions and the full quiz experience.

Access More Questions