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Question # 17

An IAR wants to send clients a research report written by another firm. They must:

Options:

A.

Refrain because third-party materials are always prohibited

B.

Disclose the source of the report and ensure it is not misleading

C.

Obtain SEC pre-approval

D.

Provide the material only to institutional clients

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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