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Question # 30

Which of the following behaviors best demonstrates ethical conduct in handling customer complaints?

Options:

A.

Ignoring complaints unless they are in writing

B.

Logging all complaints, whether verbal or written, and forwarding them to compliance

C.

Responding only to complaints about financial losses

D.

Attempting to resolve complaints personally without reporting

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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