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

Question # 34

Which is the most appropriate ethical response if a vendor offers expensive gifts to an operations professional?

Options:

A.

Accept if under $1,000

B.

Decline or return if exceeding $100 annual FINRA limit

C.

Accept if approved by compliance after receipt

D.

Keep the gift privately 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