Challenge Your Exam Readiness With Our Free Series 99 License Practice Questions

Question # 12

If a rep is terminated, how soon must Form U5 be filed?

Options:

A.

Immediately

B.

Within 10 days

C.

Within 30 days

D.

Within 45 days

Viewing question 12 out of 75 questions
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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