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

Question # 20

Which body regulates investment advisers under federal law?

Options:

A.

SEC under the Investment Advisers Act of 1940

B.

FINRA under Rule 3110

C.

OCC under options regulations

D.

MSRB under municipal rules

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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