SIE Exam Dumps | Which of the following is a reportable obligation with respect to an individual's Form U4?

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Question 3/80

Which of the following is a reportable obligation with respect to an individual's Form U4?

A. A speeding ticket

B. A change of residential address

C. A change of business telephone number

D. A gambling-related misdemeanor charge

Correct Answer: D

Step by Step Explanation:
* Form U4 Reporting Requirements: Registered persons must disclose criminal charges (excluding minor traffic violations) and material changes such as residential address changes. Gambling-related misdemeanors are considered reportable.
* Incorrect Options:
* Speeding Ticket: Typically not reportable unless it involves a felony.
* Business Telephone Number: Not material for Form U4.
References:
* FINRA Form U4 Instructions: FINRA Form U4.

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