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Question # 38

Which is TRUE under FINRA Rule 2210?

Options:

A.

Retail communications must be filed with FINRA within required timelines.

B.

Testimonials require no disclosures.

C.

Future performance guarantees are acceptable.

D.

Retail communications may omit risk disclosures.

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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