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Question # 31

Retail communications about CMOs must be filed with FINRA:

Options:

A.

Within 30 days after first use

B.

Within 10 days after first use

C.

At least 10 business days prior to use

D.

Not required

Viewing question 31 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