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Question # 23

Which of the following is TRUE about mutual fund breakpoint sales?

Options:

A.

They allow investors to pay higher sales charges with larger investments

B.

They violate FINRA rules if not disclosed to the customer

C.

They are discounts given only to institutional investors

D.

They apply to all securities trades

Viewing question 23 out of 69 questions
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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