Free Series 99 License Practice Test Questions

Question # 19

If a firm fails to retain emails related to securities transactions, it violates:

Options:

SEC Regulation SHO

FINRA Rule 4511

SIPC coverage requirements

Federal Reserve Regulation T

Viewing question 19 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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