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Question # 16

Which of the following is TRUE regarding retail communications?

Options:

A.

They require pre-use FINRA approval

B.

They must be approved by a registered principal before use

C.

They may include guarantees of future returns

D.

They are exempt from supervision if directed to more than 25 retail clients

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Series 6 License Overview

Name Series 6 License
Code Series 6 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 6 License Questions