Challenge Your Exam Readiness With Our Free Series 26 License Practice Questions

Question # 52

If a rep recommends securities without understanding product details, they violate:

Options:

A.

FINRA Rule 2111 (Suitability – reasonable basis obligation)

B.

Regulation SHO

C.

SEC Rule 15c3-3

D.

Rule 144

Viewing question 52 out of 68 questions
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Series 26 License Overview

Name Series 26 License
Code Series 26 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 26 License Questions