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

Question # 62

Which is a prohibited practice under NASAA rules?

Options:

A.

Sharing profits with a client based on written agreement

B.

Borrowing money from a client who is not a financial institution

C.

Charging performance-based fees to qualified clients

D.

Recommending only diversified mutual funds

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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