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Question # 49

What is the “early warning” net capital notification threshold under SEC Rule 15c3-1?

Options:

A.

When net capital falls to less than 150% of the minimum

B.

When net capital falls to less than 120% of the minimum

C.

When net capital falls below the exact minimum

D.

When net capital is negative

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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