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Question # 30

The Customer Reserve Formula under SEC Rule 15c3-3 is primarily designed to:

Options:

A.

Ensure customer complaints are resolved within regulatory timeframes

B.

Segregate customer funds from the firm’s proprietary capital

C.

Provide guidelines for clearing and settlement of trades

D.

Establish limits on firm advertising and communications

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Series 27 License Overview

Name Series 27 License
Code Series 27 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 27 License Questions