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

Question # 64

Under FINRA rules, when must firms conduct independent AML testing?

Options:

A.

Quarterly

B.

Semi-annually

C.

Annually for most firms, every 2 years for certain low-risk firms

D.

Every 5 years

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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