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Question # 26

Which of the following would be considered an unethical business practice for an adviser?

Options:

A.

Using discretion with written authorization

B.

Sharing fees with another licensed adviser

C.

Borrowing money from a retail client

D.

Charging fees based on assets under management

Viewing question 26 out of 71 questions
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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