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Question # 13

An adviser charges performance-based fees to clients with less than $1 million AUM or $2.2 million net worth. This is:

Options:

A.

Permissible with disclosure

B.

Prohibited unless client is qualified

C.

Allowed for institutional clients only

D.

Acceptable if performance is positive

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Series 65 License Overview

Name Series 65 License
Code Series 65 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 65 License Questions