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A registered representative (RR) intends to enter into an arrangement for compensation with an unaffiliated...

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A registered representative (RR) intends to enter into an arrangement for compensation with an unaffiliated entity to participate in the sale of promissory notes to the general public. Which of the following statements is true?

A.

This is a permissible arrangement, and the RR is only required to notify his firm.

B.

The RR must receive written approval from his firm prior to entering into this arrangement.

C.

The RR is required to notify his firm regarding this arrangement if compensation received is directly related to transactions.

D.

The RR is not required to provide prior notice to his firm as promissory notes are not considered securities.

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  • Vendor: FINRA
  • Product: SIE
  • Update on: Feb 18, 2026
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TESTED 18 Feb 2026