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Question # 16

When must a firm conduct an annual compliance meeting?

Options:

A.

Every quarter

B.

Annually, for all registered reps

C.

Only for supervisors

D.

Only if FINRA requests

Viewing question 16 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