Challenge Your Exam Readiness With Our Free Series 27 License Practice Questions

Question # 32

Which SEC rule governs the filing of broker-dealer annual audited financial statements?

Options:

A.

Rule 17a-3

B.

Rule 17a-4

C.

Rule 17a-5

D.

Rule 15c3-3

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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