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Question # 44

Which of the following is considered prohibited under FINRA rules?

Options:

A.

Recommending a security suitable to the customer’s objectives

B.

Breakpoint discounts for large mutual fund purchases

C.

Trading ahead of customer orders

D.

Disclosing material facts in a fair manner

Viewing question 44 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