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

Question # 36

An operations professional deletes client emails to avoid regulatory discovery. This violates:

Options:

A.

SEC Rule 17a-4 (record retention) and FINRA Rule 4511

B.

Regulation S-P

C.

SIPC disclosure rules

D.

MSRB Rule G-37

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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