SIE (Securities Industry Essentials) 2025 – 400 Free Practice Questions to Pass the Exam!

Question: 1 / 400

Under FINRA rules, which of the following activities by a registered representative requires written notification to her firm?

Driving part time for a transportation network company on weekends

A registered representative is an individual who is licensed to sell securities on behalf of a brokerage firm. According to FINRA rules, registered representatives are required to provide written notification to their firm if they engage in any outside business activities. These activities could potentially create conflicts of interest or impact the representative's ability to fulfill their duties to the firm and their clients.

Option A, driving for a transportation network company, would fall under this category as it involves generating income outside of the registered representative's primary job.

Options B, C, and D do not involve generating additional income or potential conflicts of interest, therefore they would not require written notification to the firm.

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Selling homemade crafts online

Participating in a community theater play

Volunteering at a local charity

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