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FINRA Securities Industry Essentials Exam (SIE) SIE Question # 34 Topic 4 Discussion

FINRA Securities Industry Essentials Exam (SIE) SIE Question # 34 Topic 4 Discussion

SIE Exam Topic 4 Question 34 Discussion:
Question #: 34
Topic #: 4

Which of the following responses describes a FINRA member?


A.

An associated person of a registered brokerage firm


B.

A natural person who is employed by a broker-dealer (BD)


C.

A registered representative with a national securities exchange


D.

A BD regulated by a national securities association


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