General Securities Sales Supervisor (Series 10) Practice Exam 2025 - Free Series 10 Practice Questions and Study Guide

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Question: 1 / 400

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 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.

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