Which of the following would be a reason for a person to receive a statutory disqualification from membership in FINRA?

Question

Quizplus · Accepted Answer

All of the choices are reasons for a person to receive a statutory disqualification from membership in FINRA. A person is subject to a statutory disqualification from membership in any self-regulatory organization (SRO) if it is considered to be financially weak, if it has been barred from membership in any other SRO, or if it has made a misleading statement of material fact on the membership application. Nor is this an exhaustive list of reasons that a person would face a statutory disqualification.

Which of the Following Would Be a Reason for a Person