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Question # 42

What is required when a firm hires a new registered rep?

Options:

A.

Form U4 must be filed

B.

Form U5 must be filed

C.

FINRA waiver must be granted

D.

SEC endorsement required

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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