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Question # 57

Which of the following requires heightened supervision?

Options:

A.

Representative with multiple customer complaints

B.

New customer with limited assets

C.

Long-tenured supervisor

D.

Retail communications about ETFs

Viewing question 57 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