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Question # 19

A retail communication claims options are a “safe income strategy” without clarifying risks. What is the violation?

Options:

A.

Misleading Communication

B.

Selling Away

C.

Shadow Trading

D.

Omission of Privacy Policy

Viewing question 19 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