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

Question # 9

An adviser has custody of client funds. Which of the following is REQUIRED?

Options:

A.

Surprise annual audit by an independent accountant

B.

Registration as a broker-dealer

C.

Waiver of fiduciary duty

D.

Client approval for every trade

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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