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

Question # 2

If an associated person refuses to cooperate with a FINRA arbitration award, what may result?

Options:

A.

Temporary suspension until compliance

B.

No consequences

C.

Customer must refile case in court

D.

SIPC will enforce the award

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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