Challenge Your Exam Readiness With Our Free Series 3 License Practice Questions

Question # 10

Under NFA rules, promotional material must:

Options:

A.

Emphasize potential profits only

B.

Be balanced, include risks

C.

Be approved by SEC

D.

Be filed only if targeting institutions

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Series 3 License Overview

Name Series 3 License
Code Series 3 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 3 License Questions