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

Question # 60

Which of the following is considered selling away?

Options:

A.

Agent sells securities not recorded on broker-dealer’s books

B.

IAR reallocates client portfolios quarterly

C.

Adviser recommends ETFs to clients

D.

Broker executes unsolicited trades

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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