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Question # 5

An investment adviser representative recommends securities based on research but fails to disclose that the research firm is owned by his spouse. This is:

Options:

A.

Permissible because the research is independent

B.

A conflict of interest requiring disclosure

C.

Fraudulent only if the investment loses value

D.

Acceptable if disclosed later

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Series 66 License Overview

Name Series 66 License
Code Series 66 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 66 License Questions