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Question # 38

An analyst publishes a research report that omits disclosure of a firm’s investment banking relationship with the issuer. What has occurred?

Options:

A.

No violation if the report is accurate

B.

Violation of FINRA Rule 2241

C.

Permissible if disclosed orally later

D.

Exempt for institutional clients

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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