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Question # 10

Which of the following best defines a fully disclosed introducing arrangement?

Options:

A.

A clearing arrangement in which customer details are not shared with the clearing firm

B.

An arrangement where the introducing firm provides all back-office services

C.

An arrangement where the introducing firm provides customer information to the clearing firm

D.

An arrangement in which the clearing firm introduces customers to the introducing firm

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Series 99 License Overview

Name Series 99 License
Code Series 99 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 99 License Questions