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

Question # 35

Commingling occurs when:

Options:

A.

Client funds are placed in the adviser’s personal account

B.

Adviser trades ahead of client orders

C.

Adviser makes excessive trades for commissions

D.

Adviser uses insider information

Viewing question 35 out of 69 questions
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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