Challenge Your Exam Readiness With Our Free Series 7 License Practice Questions

Question # 17

Who must approve new accounts before the first trade?

Options:

A.

Registered representative

B.

Principal or branch manager

C.

Customer’s CPA

D.

FINRA

Viewing question 17 out of 68 questions
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Series 7 License Overview

Name Series 7 License
Code Series 7 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 7 License Questions