Challenge Your Exam Readiness With Our Free Series 63 License Practice Questions

Question # 16

An adviser fails to disclose a conflict of interest involving compensation. This is:

Options:

A.

Acceptable if recommendations are suitable

B.

A breach of fiduciary duty

C.

Allowed for institutional clients

D.

Acceptable with Administrator approval

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Series 63 License Overview

Name Series 63 License
Code Series 63 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 63 License Questions