Challenge Your Exam Readiness With Our Free Series 24 License Practice Questions

Question # 15

Which of the following is required for research analysts under the Global Research Settlement?

Options:

A.

Full disclosure of ratings distribution

B.

Participation in investment banking meetings

C.

Direct compensation from underwriters

D.

Exemption from quiet period restrictions

Viewing question 15 out of 69 questions
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Series 24 License Overview

Name Series 24 License
Code Series 24 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 24 License Questions