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Question # 7

If a rep is suspended, what must the firm do?

Options:

A.

Report the suspension to FINRA within 30 days

B.

Terminate the rep automatically

C.

Assign a replacement principal

D.

Allow the rep to handle unsolicited trades only

Viewing question 7 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