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Question # 24

If a retail communication includes a testimonial, what must also be disclosed?

Options:

A.

Whether the individual is a current client

B.

Any compensation received

C.

FINRA’s approval

D.

Customer account performance

Viewing question 24 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