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Question # 14

Retail communications about ETFs must include:

Options:

A.

Risks of leverage and tracking error

B.

Guaranteed returns

C.

SIPC guarantees

D.

SEC approval

Viewing question 14 out of 63 questions
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Series 9/10 License Overview

Name Series 9/10 License
Code Series 9/10 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 9/10 License Questions