General Securities Sales Supervisor (Series10) Practice Exam

Disable ads (and more) with a membership for a one time $2.99 payment

Prepare for the General Securities Sales Supervisor Exam with flashcards and multiple-choice questions. Each question includes hints and explanations to enhance your learning experience. Get exam-ready today!

Each practice test/flash card set has 50 randomly selected questions from a bank of over 500. You'll get a new set of questions each time!

Practice this question and more.

Under MSRB Rule G-3, how many days must the Regulatory Element of Continuing Education be completed by from the anniversary date?

30 days
60 days
90 days
120 days

The correct answer is: 120 days

The requirement under MSRB Rule G-3 states that the Regulatory Element of Continuing Education must be completed within 120 days of the individual's anniversary date. This framework is designed to ensure that professionals in the securities industry stay updated on the regulatory environment and any relevant changes that may impact their work. The 120-day period provides individuals with ample time to schedule and complete the necessary training, facilitating compliance while allowing flexibility in managing their professional responsibilities. This rule underscores the importance of ongoing education in maintaining the competency and integrity of securities professionals. By adhering to this requirement, firms help ensure that their employees remain knowledgeable about regulations, ethical standards, and industry practices, which promotes not only their professional development but also the overall integrity of the financial markets.