FINRA Securities Industry Essentials Exam (SIE) SIE Question # 6 Topic 1 Discussion
SIE Exam Topic 1 Question 6 Discussion:
Question #: 6
Topic #: 1
A registered representative who is terminated from a broker-dealer must notify FINRA of a residential address change for what period of time after termination?
FINRA Rule 1122: Requires that registered representatives update their residential address with FINRA for two years post-termination.
Purpose: This ensures accurate records for potential regulatory inquiries during the statutory two-year period when a terminated individual remains subject to FINRA’s jurisdiction.
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