FINRA member company behavior securities commercial enterprise with a nonmember broker-dealer, the appropriate solution is D, The well registered overseas member exception is one of the few exceptions to the rule.
The required details for FINRA in given paragraph
A suspended member is likewise handled as a nonmember. The Financial Industry Regulatory Authority (FINRA) is a non-public American employer that acts as a self-regulatory organization (SRO) that regulates member brokerage corporations and alternate markets. The U.S. government corporation that acts because the final regulator of the U.S. securities enterprise, consisting of FINRA, is the U.S. Securities and Exchange Commission (SEC). The Financial Industry Regulatory Authority is the biggest unbiased regulator for all securities corporations doing commercial enterprise within side the United States.
FINRA's assignment is to shield traders through ensuring the US securities enterprise operates pretty and honestly.
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Complete question
In which circumstances may a FINRA member firm conduct securities business with a nonmember broker-dealer?
A) If the broker-dealer is a Canadian firm without regard to registration
B) If the broker-dealer is temporarily suspended and any transaction is related to ongoing business
C) Under no circumstances
D) If the nonmember broker-dealer is a foreign firm and properly registered in their home jurisdiction
