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Question # 36

A registered representative sells a client a mutual fund but fails to disclose a breakpoint discount available to the customer. What violation has occurred?

Options:

A.

Breakpoint Sales Violation

B.

Switching

C.

Front-End Load Manipulation

D.

Selling Away

Viewing question 36 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