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[{"id":631114,"quiz_id":"30860","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 22:17:14","updated_at":"2018-11-28 22:17:54","questionName":"A principal is required to perform a prehiring check of a candidate for registration.","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":4,"explanation":"A principal must perform or supervise a prehiring check on any new person looking to come into the company as a registered person.","question_score_id":null,"lang":"","questionAudioPath":null},{"id":631109,"quiz_id":"30860","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 22:14:01","updated_at":"2018-11-28 22:17:54","questionName":"FINRA examiners may ask for supporting documents as to the funding of a municipal bond dealer.","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":2,"explanation":"FINRA is always on the lookout for bad actors entering the securities business. A member firm must be prepared to disclose the source of its funding.","question_score_id":null,"lang":"","questionAudioPath":null},{"id":631104,"quiz_id":"30860","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 22:12:15","updated_at":"2018-11-28 22:17:54","questionName":"All FINRA member firms must provide to examiners a password protected copy of their written supervisory procedures pertaining to their municipal bond activity during the application process and anytime thereafter upon request.","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":1,"explanation":"As part of member firm's duties to build a culture of compliance, they are obligated to continually update and improve upon their supervisory procedures and provide them to FINRA during the application process and anytime thereafter. If the WSPs or any other document is turned over to FINRA examiners they must be password protected and the password must be supplied under a separate cover.","question_score_id":null,"lang":"","questionAudioPath":null},{"id":631111,"quiz_id":"30860","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 22:15:33","updated_at":"2018-11-28 22:17:54","questionName":"A broker-dealer is required to notify FINRA of a registered representative being found to be statutorily disqualified within 60 days.","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":3,"explanation":"Rule 4530 requires a report to be made promptly but no later than 30 calendar days.","question_score_id":null,"lang":"","questionAudioPath":null},{"id":631100,"quiz_id":"30860","answer_id":null,"answerType_id":"0","created_at":"2018-11-28 22:08:56","updated_at":"2018-11-28 22:17:54","questionName":"After being expelled by the NYSE, a firm may be granted membership by FINRA if ti files Form BD and Form U4 for each associated persons.","questionTimeSeconds":"0","questionTimeMinutes":"10","questionImagePath":null,"position":0,"explanation":"A firm will be statutorily denied membership if it has been expelled by another SRO. Forms BD and U4 must be filed by all applicant firms and associated persons (APs).","question_score_id":null,"lang":"","questionAudioPath":null}]