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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
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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

User Moris Kramer
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4 votes

Answer:

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,

User Bozdoz
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