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Question 1
Reagan has accepted a role to be the Chief Revenue Officer of a charitable organization. She is currently registered as a Dealing Representative for Sunshine Financial Services.
Which of the following would apply to her?
A
The dealer will closely monitor her sales activities to ensure any clients from the
charity are not getting a discount on potential fees.
B
Holding both positions at the same time is a violation of securities industry rules and regulations .
C
Reagan is not required to inform her dealer of this outside activity if none of her colleagues
from the charity become clients.
D
The regulator will limit her from providing financial services to anyone associated with the charity.
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Correct Answer:
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