Challenge Your Exam Readiness With Our Free Series 6 License Practice Questions

Question # 34

A firm sends a performance ranking created by an independent third party to 40 retail clients. How must it be handled?

Options:

A.

Pre-use filing with FINRA

B.

Filing with FINRA within 10 business days of use

C.

Filing with SEC before use

D.

No filing required

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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