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Question # 39

Which type of communication is subject to filing with FINRA within 10 business days of first use?

Options:

A.

Retail communication containing investment company rankings not created by the firm

B.

Institutional communication

C.

Internal research notes

D.

Correspondence

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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