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

Question # 5

If a retail communication uses a testimonial, what must be disclosed?

Options:

A.

That similar results are guaranteed

B.

Any compensation provided

C.

FINRA endorsement

D.

Client’s account numbers

Viewing question 5 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