Which ONE of the following is NOT required to be maintained by a broker as evidence of their registration for, attendance at, or completion of the qualifying continuing broker education? (2025 October No.5 – Broker Compliance)
A) The location where the broker completed the qualifying continuing broker education.
B) The name of the entity or person who provided the qualifying continuing broker education.
C) The date(s) the broker attended the qualifying continuing broker education.
D) The date(s) the broker received proof of completing the qualifying continuing broker education.
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The Answer is: D
Citation: 19 CFR 111.102(d)(1)(i)-(vi)
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