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Question # 55

Analysts may issue research reports during a quiet period if:

Options:

A.

The report is limited to factual updates on previously published information

B.

The issuer approves the report

C.

The report is reviewed by investment banking

D.

The issuer is a foreign private issuer

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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