Free Series 99 License Practice Test Questions

Question # 16

Which of the following is considered “selling away”?

Options:

Selling securities through a broker-dealer’s approved platform

Engaging in private securities transactions without firm approval

Executing trades in customer accounts with permission

Offering products under FINRA review

Viewing question 16 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

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