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

Question # 61

A retail customer places an unsolicited order for a high-risk leveraged ETF. What is the broker-dealer’s responsibility under Reg BI?

Options:

A.

Decline the order due to its high risk

B.

Document that the order was unsolicited and process it

C.

Approve the trade only if the customer has $1 million net worth

D.

Require a written risk disclosure acknowledgment

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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