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Question # 9

When soliciting mutual fund sales, a representative must disclose:

Options:

A.

The fund’s future performance

B.

The fund’s expense ratio and sales charges

C.

The representative’s commissions

D.

That the investment is risk-free

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FINRA Series Overview

Name FINRA Series
Code FINRA Series
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

FINRA Series Questions