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

Question # 4

For discretionary accounts, trade confirmations must be reviewed:

Options:

A.

Daily by a supervisor

B.

Weekly by FINRA

C.

Annually by the customer

D.

Quarterly by the SEC

Viewing question 4 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