Challenge Your Exam Readiness With Our Free Series 9/10 License Practice Questions

Question # 34

Prior to distributing options promotional material to retail clients, what must firms ensure?

Options:

A.

Approval by a Series 7 registered representative

B.

Filing with the SEC

C.

Approval by a Registered Options Principal (ROP)

D.

Review by FINRA Market Regulation

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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