Challenge Your Exam Readiness With Our Free Series 66 License Practice Questions

Question # 58

An adviser uses client brokerage commissions to pay for office rent. This is:

Options:

A.

Acceptable if disclosed

B.

Permissible if client consents

C.

Prohibited misuse of client assets

D.

Allowed if less than 5% of commissions

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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