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Question # 56

Retail communications must:

Options:

A.

Be fair, balanced, and not misleading

B.

Guarantee returns

C.

Be filed with SEC before use

D.

Provide FINRA approval number

Viewing question 56 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