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

Question # 23

A broker-dealer recommends a security to a retail client without understanding the product’s risks. Which rule is violated?

Options:

A.

FINRA Rule 2111 (Suitability)

B.

FINRA Rule 2210 (Communications)

C.

FINRA Rule 3110 (Supervision)

D.

SEC Rule 10b-5

Viewing question 23 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