Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a job as a receptionist at a fitness club on the weekends to generate more income. Which of the following is true?

Question

Quizplus · Accepted Answer

Mina should have notified SecureMoney in writing before taking on the job at the fitness club. Regardless of whether the job has anything to do with finance, an agent must notify her broker-dealer in writing prior to engaging in any extracurricular activity for which she gets paid. She is not required to send any notice to the Administrator, however.

Mina Is a New Agent with SecureMoney Broker-Dealers and Is